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HUMANA INC — Director's Dealing 2017
Mar 10, 2017
30145_dirs_2017-03-10_9b9b3c20-19a1-444c-a4d0-ab7fad4dc06a.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: 2017-03-08
Reporting Person: Huval Timothy S. (Senior VP & Chief HR Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-03-08 | Options | $217.415 | A | 23247 | Acquired | 2024-03-08 | Humana Common (23247) | Direct |
| 2017-03-08 | Restricted Stock Units | $ | A | 5346 | Acquired | Humana Common (5346) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 16634 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $164.645 | 2022-02-24 | Humana Common (14010) | 14010 | Direct |
| Options | $167.805 | 2023-02-18 | Humana Common (20804) | 20804 | Direct |
| Restricted Stock Units | $ | Humana Common (3079) | 3079 | 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. 15,498 options vesting in three annual increments, and 7,749 options fully vest three years from the date of grant.
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, 3,564 shares vesting in three annual increments, and 1,782 shares fully vest three years from the date of grant.