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HUMANA INC — Director's Dealing 2018
Aug 6, 2018
30145_dirs_2018-08-06_a576ce3b-f194-42a1-9fe2-472a9f6a9dd1.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: 2018-08-03
Reporting Person: Zipperle Cynthia H (SVP, Chief Accounting Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-08-03 | Humana Common | S | 4886 | $321.8884 | Disposed | 0 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 899 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $ | Humana Common (795) | 795 | Direct | |
| Restricted Stock Units | $ | Humana Common (2602) | 2602 | Direct | |
| Restricted Stock Units | $ | Humana Common (903) | 903 | Direct | |
| Restricted Stock Units | $ | Humana Common (745) | 745 | Direct | |
| Phantom Stock Units | $ | Humana Common (253) | 253 | Indirect |
Footnotes
F1: Shares held for the benefit of reporting person as of June 30, 2018 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).
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 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/17, and 12/15/18.
F4: Restricted stock units granted to reporting person on 03/08/2017, 2,230 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,115 shares fully vest three years from the date of grant.
F5: 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.
F6: Restricted stock units granted to reporting person on 02/19/18, 100% of the award is vesting on 02/19/21.
F7: Phantom Stock Units held for the benefit of reporting person as of June 30, 2018 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.
F8: Shares sold at prices ranging from $321.8657 to $322.07. Price reported is weighted average sales price.