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HUMANA INC — Director's Dealing 2017
May 15, 2017
30145_dirs_2017-05-15_a8838618-dfc4-4390-9b2e-d37e821fb36b.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: 2017-05-12
Reporting Person: BEVERIDGE, ROY A (Sr. VP & Chief Medical Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-12 | Humana Common | M | 14290 | $81.795 | Acquired | 23221 | Direct |
| 2017-05-12 | Humana Common | M | 15086 | $102.155 | Acquired | 38037 | Direct |
| 2017-05-12 | Humana Common | M | 26023 | $231.9937 | Disposed | 12284 | Direct |
| 2017-05-12 | Humana Common | F | 1281 | $229.765 | Disposed | 11003 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-12 | Options | $81.795 | M | 14290 | Disposed | 2020-06-17 | Humana Common (14290) | Direct |
| 2017-05-12 | Options | $102.155 | M | 15086 | Disposed | 2021-02-18 | Humana Common (15086) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $164.645 | 2022-02-24 | Humana Common (14913) | 14913 | Direct |
| Options | $167.805 | 2023-02-18 | Humana Common (14764) | 14764 | Direct |
| Options | $217.415 | 2024-03-08 | Humana Common (15997) | 15997 | Direct |
| Restricted Stock Units | $ | Humana Common (2186) | 2186 | Direct | |
| Restricted Stock Units | $ | Humana Common (3678) | 3678 | Direct |
Footnotes
F1: Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 06/17/13, vesting in three increments from 06/17/14 to 06/17/16.
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 03/08/2017. 10,998 options vesting in three annual increments, and 4,999 options fully vest three years from the date of grant.
F5: 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.
F6: 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).
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.
F8: Restricted stock units granted to reporting person on 03/08/2017, 2,529 shares vesting in three annual increments, and 1,149 shares fully vest three years from the date of grant.
F9: Shares sold at prices ranging from $231.88 to $232.10.
F10: Shares swapped for payment of purchase price on incentive stock option exercises using fair market value on May 11, 2017, pursuant to Humana Inc.'s 2011 Stock Incentive Plan.