SEC Form 4 · accession 0000049071-18-000142
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roy A Beveridge
Officer — Chief Medical Officer
Period of report
Dec 15, 2018
Accepted (ET)
Dec 18, 2018 · 11:48 am EST
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 | Dec 15, 2018 | M | 1,093 | $0.00 | A | 11,714 | D | |
| Humana Common | Dec 15, 2018 | F | 520 | $304.045 | D | 11,194 | D | |
| Humana Common | Dec 15, 2018 | M | 843 | $0.00 | A | 12,037 | D | |
| Humana Common | Dec 15, 2018 | F | 401 | $304.045 | D | 11,636 | D | |
| Humana Common | Dec 15, 2018 | M | 341 | $0.00 | A | 11,977 | D | |
| Humana Common | Dec 15, 2018 | F | 163 | $304.045 | D | 11,814 | 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 UnitsF4,F5 | — | Dec 15, 2018 | M | 1,093 | D | — | — | Humana Common | 1,093 | 0 | D |
| Restricted Stock UnitsF4,F6 | — | Dec 15, 2018 | M | 843 | D | — | — | Humana Common | 843 | 1,993 | D |
| Restricted Stock UnitsF4,F7 | — | Dec 15, 2018 | M | 341 | D | — | — | Humana Common | 341 | 683 | D |
| OptionsF1 | $167.805 | holding | — | — | — | — | Feb 18, 2023 | Humana Common | 14,764 | 14,764 | D |
| OptionsF2 | $217.415 | holding | — | — | — | — | Mar 8, 2024 | Humana Common | 15,997 | 15,997 | D |
| OptionsF3 | $268.47 | holding | — | — | — | — | Feb 19, 2025 | Humana Common | 4,415 | 4,415 | 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 02/18/16, vesting in three increments from 02/18/17 to 02/18/19.
- F2Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 10,998 options vesting in three annual increments, and 4,999 options fully vest three years from the date of grant.
- F3Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/18, vesting in three increments from 02/19/19 to 02/19/21.
- F4Right 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).
- F5Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/17, and 12/15/18.
- F6Restricted stock units granted to reporting person on 03/08/2017, 2,529 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,149 shares fully vest three years from the date of grant.
- F7Restricted 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.