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HUMANA INC — Director's Dealing 2018
Feb 27, 2018
30145_dirs_2018-02-27_285b1b71-6813-4f76-9368-26146f0ea2d3.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: 2018-02-24
Reporting Person: BILNEY JODY L (Chief Consumer Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-02-24 | Humana Common | M | 4472 | — | Acquired | 15726 | Direct |
| 2018-02-24 | Humana Common | F | 1541 | $269.31 | Disposed | 14185 | Direct |
| 2018-02-26 | Humana Common | S | 2931 | $273.4484 | Disposed | 10860 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $102.155 | 2021-02-18 | Humana Common (7054) | 7054 | Direct |
| Options | $164.645 | 2022-02-24 | Humana Common (21014) | 21014 | Direct |
| Options | $167.805 | 2023-02-18 | Humana Common (20804) | 20804 | Direct |
| Options | $217.415 | 2024-03-08 | Humana Common (23247) | 23247 | Direct |
| Options | $268.47 | 2025-02-19 | Humana Common (6221) | 6221 | Direct |
| Restricted Stock Units | $ | Humana Common (1540) | 1540 | Direct | |
| Restricted Stock Units | $ | Humana Common (4159) | 4159 | Direct | |
| Restricted Stock Units | $ | Humana Common (1443) | 1443 | Direct |
Footnotes
F1: Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/2014, vesting in three increments from 02/18/2015 to 02/18/2017.
F2: Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2015, vesting in three increments from 02/24/2016 to 02/24/2018.
F3: 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.
F4: 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.
F5: 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.
F6: 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).
F7: 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.
F8: Restricted stock units granted to reporting person on 03/08/2017, 3,564 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,782 shares fully vest three years from the date of grant.
F9: 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.
F10: Includes Performance Stock Units that vested on 2/24/18.
F11: All shares sold at price of 273.4484.
F12: Due to scrivener's error, total direct shares are updated to reflect 394 shares swapped for purchase price of an Incentive Stock Option exercised on 12/18/17.