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HUMANA INC — Director's Dealing 2017
Mar 6, 2017
30145_dirs_2017-03-06_9f8bb2cb-d6af-4ccb-8fab-0ca0bcd8438c.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: 2017-03-03
Reporting Person: Zipperle Cynthia H (Vice President, CAO,Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-03-03 | Humana Common | S | 1885 | $213.3717 | Disposed | 3736 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 888 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $67.4825 | 2019-12-13 | Humana Common (1196) | 1196 | Direct |
| Restricted Stock Units | $ | Humana Common (1063) | 1063 | Direct | |
| Restricted Stock Units | $ | Humana Common (1590) | 1590 | Direct | |
| Phantom Stock Units | $ | Humana Common (237) | 237 | Indirect |
Footnotes
F1: Right to buy pursuant to Company's 2003 Incentive Stock Plan. Non-Qualified stock options granted to reporting person on 12/13/12, vesting in three increments from 12/13/13 to 12/13/15.
F2: 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).
F3: Restricted stock units granted to reporting person on 02/24/15, 100% of the award is vesting on 02/24/18.
F4: 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.
F5: 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).
F6: 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.
F7: Shares sold at prices ranging from $213.361 to $213.41.