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HUMANA INC — Director's Dealing 2017
Mar 10, 2017
30145_dirs_2017-03-10_b7a3e047-060d-43fd-ab8a-e41e791e8c81.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2017-03-01
Reporting Person: Wheatley Timothy Alan (President, Retail Segment)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 0 | Direct |
| Humana Common | 638 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $164.645 | 2022-02-24 | Humana Common (8136) | Direct | |
| Options | $167.805 | 2023-02-18 | Humana Common (8010) | Direct | |
| Restricted Stock Units | $0 | Humana Common (1602) | Direct | ||
| Restricted Stock Units | $0 | Humana Common (1739) | Direct | ||
| Phantom Stock Units | $ | Humana Common (105) | Indirect |
Footnotes
F1: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/24/2015, vesting in three increments from 02/24/2016 to 02/24/2018.
F2: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/18/2016, vesting in three increments from 02/18/2017 to 02/18/2019.
F3: 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).
F4: Restricted stock units granted to reporting person on 08/26/14, 100% of the award is vesting on 08/26/17.
F5: Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/2017 and 12/15/2018.
F6: Shares held for the benefit of reporting person as of February 28, 2017 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
F7: Phantom Stock Units held for the benefit of reporting person as of February 28, 2017 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctuation due to changes in stock price.