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HUMANA INC — Director's Dealing 2018
Sep 17, 2018
30145_dirs_2018-09-17_9fc91408-7c45-403c-9b20-af0ef86d6177.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: 2018-09-14
Reporting Person: HUNTER CHRISTOPHER H. (Seg President, Group Business)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-09-14 | Humana Common | G | 305 | — | Disposed | 12667 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $167.805 | 2023-02-18 | Humana Common (14764) | 14764 | Direct |
| Options | $217.415 | 2024-03-08 | Humana Common (19497) | 19497 | Direct |
| Options | $268.47 | 2025-02-19 | Humana Common (6623) | 6623 | Direct |
| Restricted Stock Units | $ | Humana Common (1093) | 1093 | Direct | |
| Restricted Stock Units | $ | Humana Common (3487) | 3487 | Direct | |
| Restricted Stock Units | $ | Humana Common (1536) | 1536 | Direct |
Footnotes
F1: 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.
F2: 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. 12,998 options vesting in three annual increments, and 6,499 options fully vest three years from the date of grant.
F3: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/18, vesting in three increments from 02/19/19 to 02/19/21.
F4: 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) under Company's 2011 Plan.
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, 2,989 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,494 shares fully vest three years from the date of grant.
F7: Restricted stock units granted to reporting person on 02/19/18, 33% of the award is vesting on 12/15/18, 12/15/19, and 12/15/20.
F8: Transaction represents a charitable gift/donation effective September 14, 2018 in which no value was received in return.