SEC Form 4 · accession 0000049071-19-000037

HUMANA INC · HUM

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

Reporting owner

Officer — SVP, Chief Acct Officer & Cont

Period of report

Feb 25, 2019

Accepted (ET)

Mar 1, 2019 · 6:27 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	holding	—	—		—	981	D
Humana Common^F1	holding	—	—		—	887	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,F6	—	Feb 25, 2019	A	812	A	—	—	Humana Common	812	812	D
Restricted Stock Units^F2,F3	—	holding	—	—	—	—	—	Humana Common	1,859	1,859	D
Restricted Stock Units^F2,F4	—	holding	—	—	—	—	—	Humana Common	603	603	D
Restricted Stock Units^F2,F5	—	holding	—	—	—	—	—	Humana Common	745	745	D
Phantom Stock Units^F7	—	holding	—	—	—	—	—	Humana Common	274	274	I

F1Shares held for the benefit of reporting person as of January 31, 2019 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
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 03/08/2017, 2,230 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,115 shares fully vest three years from the date of grant.
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.
F5Restricted stock units granted to reporting person on 02/19/18, 100% of the award is vesting on 02/19/21.
F6Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/21.
F7Phantom Stock Units held for the benefit of reporting person as of January 31, 2019 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctuation due to changes in stock price.