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HUMANA INC — Director's Dealing 2018
Feb 21, 2018
30145_dirs_2018-02-21_ff197b96-efc2-41db-99c0-80971931ade9.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: 2018-02-19
Reporting Person: Christopher M Todoroff (Chief Legal Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-02-19 | Options | $268.47 | A | 6221 | Acquired | 2025-02-19 | Humana Common (6221) | Direct |
| 2018-02-19 | Restricted Stock Units | $ | A | 1443 | Acquired | Humana Common (1443) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 8975 | 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 (15498) | 15498 | Direct |
| Options | $239.12 | 2024-06-28 | Humana Common (7366) | 7366 | Direct |
| Restricted Stock Units | $ | Humana Common (1540) | 1540 | Direct | |
| Restricted Stock Units | $ | Humana Common (2377) | 2377 | Direct | |
| Restricted Stock Units | $ | Humana Common (1620) | 1620 | 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 02/24/15, 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, vesting in three annual increments.
F4: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 06/28/2017, 100% of the award is vesting on 06/28/20
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: Reporting Person disclaims Beneficial Ownership of one-half of each option or restricted stock unit held as of December 2016 pursuant to Divorce Decree, exempt under Rule 16a-12.
F9: Restricted stock units granted to reporting person on 03/08/2017, 33% of the award is vesting on 12/15/17, 12/15/18, and 12/15/19.
F10: Restricted stock units granted to reporting person on 06/28/17, 100% of the award is vesting on 06/28/20.
F11: 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.
F12: On December 21, 2017 reporting person transferred 383 shares of direct ownership pursuant to Divorce Decree, exempt under Rule 16a-12.