SEC Form 4 · accession 0000049071-19-000040
HUMANA INC · HUM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heather Cox
Officer — Chief Digital & Analytics Off.
Period of report
Feb 25, 2019
Accepted (ET)
Mar 1, 2019 · 6:30 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 | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF2 | $307.965 | Feb 25, 2019 | A | 5,388 | A | — | Feb 25, 2026 | Humana Common | 5,388 | 5,388 | D |
| Restricted Stock UnitsF3,F5 | — | Feb 25, 2019 | A | 1,218 | A | — | — | Humana Common | 1,218 | 1,218 | D |
| OptionsF1 | $332.675 | holding | — | — | — | — | Sep 1, 2025 | Humana Common | 10,155 | 10,155 | D |
| Restricted Stock UnitsF3,F4 | — | holding | — | — | — | — | — | Humana Common | 2,254 | 2,254 | 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 9/1/2018, vesting in three increments from 9/1/19 to 9/1/21.
- F2Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive & Non-Qualified stock options granted to reporting person on 2/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
- F3Right 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).
- F4Restricted stock units granted to reporting person on 9/1/2018, 33% of the award is vesting on 9/1/2019, 9/1/2020 and 9/1/2021.
- F5Restricted stock units granted to reporting person on 2/25/2019, 33% of the award is vesting on 12/15/2019, 12/15/2020 and 12/15/2021.