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HUMANA INC — Director's Dealing 2017
May 4, 2017
30145_dirs_2017-05-04_f37790d3-de2f-4bd7-b19d-c7590ab73bbe.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: 2017-05-04
Reporting Person: BROUSSARD BRUCE D (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-04 | Humana Common | M | 79084 | $164.645 | Acquired | 171170 | Direct |
| 2017-05-04 | Humana Common | M | 39147 | $167.805 | Acquired | 210317 | Direct |
| 2017-05-04 | Humana Common | S | 118231 | $225.8219 | Disposed | 92086 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-04 | Options | $164.645 | M | 79084 | Disposed | 2022-02-24 | Humana Common (79084) | Direct |
| 2017-05-04 | Options | $167.805 | M | 39147 | Disposed | 2023-02-18 | Humana Common (39147) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $217.415 | 2024-03-08 | Humana Common (105988) | 105988 | Direct |
| Restricted Stock Units | $ | Humana Common (17383) | 17383 | Direct | |
| Restricted Stock Units | $ | Humana Common (24377) | 24377 | Direct |
Footnotes
F1: Right to buy pursuant to the Company'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.
F2: 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.
F3: 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, vesting in three annual increments.
F4: 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).
F5: 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.
F6: Restricted stock units granted to reporting person on 03/08/2017,vesting in three annual increments.
F7: Shares sold at prices ranging from $224.65 to $228.71. Price reported is the average sale price.