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HUMANA INC — Director's Dealing 2019
Dec 16, 2019
30145_dirs_2019-12-16_245678a0-6af7-47dd-90f4-555b43f55a73.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: 2019-12-15
Reporting Person: Deshpande Samir (Chief Tech & Risk Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-12-15 | Humana Common | M | 310 | — | Acquired | 2419 | Direct |
| 2019-12-15 | Humana Common | F | 116 | $350.41 | Disposed | 2303 | Direct |
| 2019-12-15 | Humana Common | M | 406 | — | Acquired | 2709 | Direct |
| 2019-12-15 | Humana Common | F | 186 | $350.41 | Disposed | 2523 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-12-15 | Restricted Stock Units | $ | M | 310 | Disposed | Humana Common (310) | Direct | |
| 2019-12-15 | Restricted Stock Units | $ | M | 406 | Disposed | Humana Common (406) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $268.47 | 2025-02-19 | Humana Common (4014) | 4014 | Direct |
| Options | $307.965 | 2026-02-25 | Humana Common (5388) | 5388 | Direct |
| Restricted Stock Units | $ | Humana Common (1358) | 1358 | 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 02/19/2018, vesting in three increments from 2/19/19 to 2/19/21.
F2: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
F3: 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).
F4: Restricted stock units granted to reporting person on 08/03/2017, 33% of the award is vesting on 08/03/2018, 08/03/2019 and 08/03/2020.
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 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21.