SEC Form 4 · accession 0000049071-18-000147
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heidi S Margulis
Officer — Chief Corp. Affairs Officer
Period of report
Dec 15, 2018
Accepted (ET)
Dec 18, 2018 · 4:05 pm 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 | 8,869 | D | |
| Humana Common | Dec 15, 2018 | F | 498 | $304.045 | D | 8,371 | D | |
| Humana Common | Dec 15, 2018 | M | 996 | $0.00 | A | 9,367 | D | |
| Humana Common | Dec 15, 2018 | F | 454 | $304.045 | D | 8,913 | D | |
| Humana Common | Dec 15, 2018 | M | 403 | $0.00 | A | 9,316 | D | |
| Humana Common | Dec 15, 2018 | F | 184 | $304.045 | D | 9,132 | D | |
| Humana CommonF8 | Dec 18, 2018 | S | 2,656 | $296.218 | D | 6,476 | 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 | 996 | D | — | — | Humana Common | 996 | 2,491 | D |
| Restricted Stock UnitsF3,F4,F7 | — | Dec 15, 2018 | M | 403 | D | — | — | Humana Common | 403 | 808 | D |
| OptionsF1 | $167.805 | holding | — | — | — | — | Feb 18, 2023 | Humana Common | 4,922 | 4,922 | D |
| OptionsF2 | $217.415 | holding | — | — | — | — | Mar 8, 2024 | Humana Common | 19,497 | 19,497 | D |
| OptionsF3 | $268.47 | holding | — | — | — | — | Feb 19, 2025 | Humana Common | 5,218 | 5,218 | D |
Explanation of responses
- F1Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17.
- 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. 12,998 options vesting in three annual increments, and 6,499 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, 2,989 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,494 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.
- F8Price reported is weighted average sales price.