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HUMANA INC — Director's Dealing 2017
Mar 21, 2017
30145_dirs_2017-03-21_b7f6f4cf-e3bb-4107-b111-300f63c311f1.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: 2017-03-17
Reporting Person: KAY CHRISTOPHER E (SVP & Chief Innovation Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-03-17 | Humana Common | M | 6134 | — | Acquired | 6837 | Direct |
| 2017-03-17 | Humana Common | F | 2502 | $218.8175 | Disposed | 4335 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-03-17 | Restricted Stock Units | $ | M | 2929 | Disposed | Humana Common (2929) | 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 (10998) | 10998 | Direct |
| Restricted Stock Units | $ | Humana Common (2186) | 2186 | Direct | |
| Restricted Stock Units | $ | Humana Common (2529) | 2529 | 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 03/17/14, 100% of the award is vesting on 03/17/17.
F6: 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.
F7: Restricted stock units granted to reporting person on 03/08/2017, vesting in three annual increments.
F8: Includes both time based (2,929) and performance based (3,205) restricted stock units that vested on 3/17/17.