SEC Form 4 · accession 0000049071-18-000134
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vishal Agrawal
Officer — Chief Strategy Officer
Period of report
Dec 11, 2018
Accepted (ET)
Dec 13, 2018 · 9:31 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000049071
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF1 | $308.31 | Dec 11, 2018 | A | 10,577 | A | — | Dec 11, 2025 | Humana Common | 10,577 | 10,577 | D |
| Restricted Stock UnitsF2,F3 | — | Dec 11, 2018 | A | 2,433 | A | — | — | Humana Common | 2,433 | 2,433 | D |
Explanation of responses
- F1Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive & Non-Qualified stock options granted to reporting person on 12/11/2018, vesting in three increments from 12/11/19 to 12/11/21.
- 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 12/11/2018, 33% of the award is vesting on 12/11/2019, 12/11/2020 and 12/11/2021.