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HUMANA INC — Director's Dealing 2016
Dec 19, 2016
30145_dirs_2016-12-19_44ee3769-6a53-40e1-b13b-628cdd81c3e6.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2016-12-15
Reporting Person: MARGULIS HEIDI S (Senior V.P. -Corporate Affairs)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-15 | Humana Common | M | 1092 | — | Acquired | 17220 | Direct |
| 2016-12-15 | Humana Common | F | 537 | $206.595 | Disposed | 16683 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-12-15 | Restricted Stock Units | $ | M | 1092 | Disposed | Humana Common (1092) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $72.84 | 2020-02-20 | Humana Common (1936) | 1936 | Direct |
| Options | $102.155 | 2021-02-18 | Humana Common (7264) | 7264 | Direct |
| Options | $164.645 | 2022-02-24 | Humana Common (14913) | 14913 | Direct |
| Options | $167.805 | 2023-02-18 | Humana Common (14764) | 14764 | Direct |
| Restricted Stock Units | $ | Humana Common (1591) | 1591 | Direct |
Footnotes
F1: Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16.
F2: Right 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.
F3: Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/15, vesting in three increments from 02/24/16 to 02/24/18.
F4: Right 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.
F5: Right 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).
F6: Restricted stock units granted to reporting person on 2/18/14, 100% of the award is vesting on 2/18/17.
F7: Restricted 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.