SEC Form 4 · accession 0000049071-19-000011

HUMANA INC · HUM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Nov 16, 2011

Accepted (ET)

Jan 4, 2019 · 4:10 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^F5	Jan 2, 2019	A	588	$0.00	A	588	D
Humana Common^F1	Nov 16, 2011	S	600	$88.0504	D	2,000	I	See Footnote
Humana Common^F1	Mar 16, 2012	S	400	$86.3206	D	1,600	I	See Footnote
Humana Common^F1	Jun 10, 2014	S	400	$124.4949	D	1,200	I	See Footnote
Humana Common^F1	Aug 11, 2014	S	200	$120.2401	D	1,000	I	See Footnote
Humana Common^F1	May 18, 2017	S	200	$230.0401	D	800	I	See Footnote
Humana Common^F4	holding	—	—		—	87,484	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2	—	holding	—	—	—	—	—	Humana Common	5,892	5,892	D
Restricted Stock Units^F3	—	holding	—	—	—	—	—	Humana Common	95	95	D

F1Shares held in two trusts for the benefit of reporting person's son/daughter, respectively, in each case where the reporting person is the sole trustee. Amounts reported reflect equal sales and subsequent holdings from each trust on the reported dates that were inadvertently omitted from prior filings.
F2Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
F3Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).
F4Shares held by a revocable trust account (Dec 2009), on which reporting person is the sole trustee, holding certain shares of Humana Inc. common stock. 658 shares were transferred to trust on January 2, 2019 from directly held brokerage account.
F5Includes 588 restricted stock units pursuant to the annual Director's Fee Program representing a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2011 Plan of which 100% is vesting on 12/31/2019.