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HUMANA INC — Director's Dealing 2019
Jul 19, 2019
30145_dirs_2019-07-19_c5dceb57-e091-4c82-86cf-488204755998.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2019-07-15
Reporting Person: Diamond Susan M (Segment President, Home Bus.)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 0 | Direct |
| Humana Common | 1041 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $0 | Humana Common (1916) | Direct | ||
| Restricted Stock Units | $0 | Humana Common (1552) | Direct | ||
| Restricted Stock Units | $0 | Humana Common (844) | Direct | ||
| Restricted Stock Units | $0 | Humana Common (1023) | Direct | ||
| Restricted Stock Units | $0 | Humana Common (872) | Direct |
Footnotes
F1: Shares held for the benefit of reporting person as of June 30, 2019 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
F2: 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).
F3: Right to receive one share per restricted stock unit pursuant to the Company's 2019 Amended & Restated 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 03/08/17. 2,299 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19; and 1,149 shares fully vesting three years from the date of grant. Shares reported are what remain unvested.
F5: Restricted stock units granted to reporting person on 02/19/18, 931 shares vesting in three annual increments on 12/15/18, 12/15/19 and 12/15/20. and 931 shares vest fully three years from the date of grant. Shares reported are what remain unvested.
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 12/15/2021.
F7: Restricted stock units granted to reporting person on 06/01/19, 100% of the award is vesting on 6/1/2022.
F8: Restricted stock units granted to reporting person on 07/01/19, 33% of the award is vesting on 07/01/20, 07/01/21, and 07/01/2022.