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HUMANA INC — Director's Dealing 2016
Dec 5, 2016
30145_dirs_2016-12-05_2392a91b-792d-4334-8dbd-7bdac50d89ff.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: 2016-12-02
Reporting Person: BILNEY JODY L (SVP & Chief Consumer Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-02 | Humana Common | M | 14868 | $76.43 | Acquired | 25916 | Direct |
| 2016-12-02 | Humana Common | F | 8768 | $215.185 | Disposed | 17148 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-12-02 | Options | $76.43 | M | 14868 | Disposed | 2020-05-02 | Humana Common (14868) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $102.155 | 2021-02-18 | Humana Common (15086) | 15086 | Direct |
| Options | $164.645 | 2022-02-24 | Humana Common (21014) | 21014 | Direct |
| Options | $167.805 | 2023-02-18 | Humana Common (20804) | 20804 | Direct |
| Restricted Stock Units | $ | Humana Common (3304) | 3304 | Direct | |
| Restricted Stock Units | $ | Humana Common (4618) | 4618 | 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 05/02/13, vesting in three increments from 05/02/14 to 05/02/16.
F2: Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/2014, vesting in three increments from 02/18/2015 to 02/18/2017.
F3: Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2015, vesting in three increments from 02/24/2016 to 02/24/2018.
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 02/18/14, 100% of the award is vesting on 02/18/17.
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.