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HUMANA INC — Director's Dealing 2017
Sep 5, 2017
30145_dirs_2017-09-05_925cfeb5-ca9d-4bfa-911d-24f283ea56bc.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: 2017-09-01
Reporting Person: Huval Timothy S. (Senior VP & Chief HR Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-09-01 | Humana Common | S | 7803 | $258.1444 | Disposed | 8831 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $164.645 | 2022-02-24 | Humana Common (7005) | 7005 | Direct |
| Options | $167.805 | 2023-02-18 | Humana Common (13870) | 13870 | Direct |
| Options | $217.415 | 2024-03-08 | Humana Common (23247) | 23247 | Direct |
| Restricted Stock Units | $ | Humana Common (3079) | 3079 | Direct | |
| Restricted Stock Units | $ | Humana Common (5346) | 5346 | 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.
F7: Shares sold at prices ranging from $258.00 to $258.215. Price reported is the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.