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HUMANA INC — Director's Dealing 2019
Dec 31, 2019
30145_dirs_2019-12-31_29ba1a4c-3e9c-4c16-9b02-5a8370c0ef1a.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: 2019-12-31
Reporting Person: LeClaire Brian P. (Strategic Advisor)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 6339 | Direct |
| Humana Common | 135 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $217.415 | 2024-03-08 | Humana Common (12916) | 12916 | Direct |
| Options | $268.47 | 2025-02-19 | Humana Common (4148) | 4148 | Direct |
| Options | $307.965 | 2026-02-25 | Humana Common (5568) | 5568 | Direct |
| Restricted Stock Units | $ | Humana Common (1782) | 1782 | Direct | |
| Restricted Stock Units | $ | Humana Common (482) | 482 | Direct | |
| Restricted Stock Units | $ | Humana Common (839) | 839 | Direct | |
| Phantom Stock Units | $ | Humana Common (62) | 62 | Indirect |
Footnotes
F1: Stock units held for the benefit of reporting person as of November 30, 2019 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).
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. 15,498 options vesting in three annual increments, and 7,749 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: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/19, vesting in three increments from 02/25/20 to 02/25/22.
F5: 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).
F6: 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.
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: Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/21.
F9: Phantom Stock Units held for the benefit of reporting person as of November 30, 2019 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 fluctation due to changes in stock price.