SEC Form 4 · accession 0000049071-18-000104
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samir Deshpande
Officer — Chief Risk Officer
Period of report
Aug 3, 2018
Accepted (ET)
Aug 7, 2018 · 11:32 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000049071
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Humana Common | Aug 3, 2018 | M | 1,357 | $0.00 | A | 1,357 | D | |
| Humana Common | Aug 3, 2018 | F | 409 | $322.725 | D | 948 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Aug 3, 2018 | M | 1,357 | D | — | — | Humana Common | 1,357 | 2,716 | D |
| OptionsF1 | $268.47 | holding | — | — | — | — | Feb 19, 2025 | Humana Common | 4,014 | 4,014 | D |
| Restricted Stock UnitsF2,F4 | — | holding | — | — | — | — | — | Humana Common | 931 | 931 | D |
Explanation of responses
- F1Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 2/19/19 to 2/19/21.
- F2Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).
- F3Restricted stock units granted to reporting person on 08/03/2017, 33% of the award is vesting on 08/03/2018, 08/03/2019 and 08/03/2020.
- F4Restricted stock units granted to reporting person on 02/19/18, 33% of the award is vesting on 12/15/18, 12/15/19 and 12/15/20.