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HUMANA INC — Director's Dealing 2018
Feb 21, 2018
30145_dirs_2018-02-21_98730a5a-9999-45e6-9e5e-af6ec335aaf2.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: Bierbower Elizabeth D (Segment President, Group Bus.)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-02-19 | Options | $268.47 | A | 4817 | Acquired | 2025-02-19 | Humana Common (4817) | Direct |
| 2018-02-19 | Restricted Stock Units | $ | A | 1117 | Acquired | Humana Common (1117) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 18788 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $79.655 | 2019-06-20 | Humana Common (1804) | 1804 | Direct |
| Options | $72.84 | 2019-02-20 | Humana Common (1734) | 1734 | Direct |
| Options | $102.155 | 2021-02-18 | Humana Common (8381) | 8381 | Direct |
| Options | $164.645 | 2022-02-24 | Humana Common (7627) | 7627 | Direct |
| Options | $167.805 | 2023-02-18 | Humana Common (8925) | 8925 | Direct |
| Options | $217.415 | 2024-03-08 | Humana Common (14997) | 14997 | Direct |
| Restricted Stock Units | $ | Humana Common (646) | 646 | Direct | |
| Restricted Stock Units | $ | Humana Common (2682) | 2682 | Direct |
Footnotes
F1: Right to buy pursuant to Company's 2003 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 06/20/2012, vesting in three increments from 06/20/2013 to 06/20/2015.
F2: Right to buy pursuant to Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/20/2013, vesting in three increments from 02/20/2014 to 02/20/2016.
F3: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/2014, vesting in three increments from 02/18/2015 to 02/18/2017.
F4: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/24/2015, vesting in three increments from 02/24/2016 to 02/24/2018.
F5: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/18/2016, vesting in three increments from 02/18/2017 to 02/18/2019.
F6: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/08/2017. 9,998 options vesting in 3 annual increments, and 4,999 options fully vest three years from date of grant.
F7: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 02/19/19 to 02/19/21.
F8: 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).
F9: Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/2017 and 12/15/2018.
F10: Restricted stock units granted to reporting person on 03/08/17. 2,299 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,149 shares fully vest three years from date of grant.
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.