0000049071-19-000138.txt : 20191217 0000049071-19-000138.hdr.sgml : 20191217 20191217163441 ACCESSION NUMBER: 0000049071-19-000138 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191215 FILED AS OF DATE: 20191217 DATE AS OF CHANGE: 20191217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LeClaire Brian P. CENTRAL INDEX KEY: 0001528285 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 191290147 MAIL ADDRESS: STREET 1: HUMANA INC., 500 W. MAIN ST. CITY: LOUISVILLE STATE: KY ZIP: 40202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HUMANA INC CENTRAL INDEX KEY: 0000049071 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 610647538 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 W. MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 FORMER COMPANY: FORMER CONFORMED NAME: EXTENDICARE INC DATE OF NAME CHANGE: 19740404 FORMER COMPANY: FORMER CONFORMED NAME: HERITAGE HOUSE OF AMERICA INC DATE OF NAME CHANGE: 19671129 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2019-12-15 0000049071 HUMANA INC HUM 0001528285 LeClaire Brian P. HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Strategic Advisor Humana Common 2019-12-15 4 M 0 1189 0 A 9017 D Humana Common 2019-12-15 4 F 0 468 350.41 D 8549 D Humana Common 2019-12-15 4 M 0 481 0 A 9030 D Humana Common 2019-12-15 4 F 0 190 350.41 D 8840 D Humana Common 2019-12-15 4 M 0 419 0 A 9259 D Humana Common 2019-12-15 4 F 0 165 350.41 D 9094 D Humana Common 2019-12-16 4 S 0 1266 359.644 D 7828 D Humana Common 2019-12-16 4 G 0 1489 0 D 6339 D Humana Common 135 I (See Footnote) Options 217.415 2024-03-08 Humana Common 12916 12916 D Options 268.47 2025-02-19 Humana Common 4148 4148 D Options 307.965 2026-02-25 Humana Common 5568 5568 D Restricted Stock Units 2019-12-15 4 M 0 1189 0 D Humana Common 1189 1782 D Restricted Stock Units 2019-12-15 4 M 0 481 0 D Humana Common 481 482 D Restricted Stock Units 2019-12-15 4 M 0 419 0 D Humana Common 419 839 D Phantom Stock Units Humana Common 62 62 I See Footnote 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). 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. 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. 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. 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). 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. 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. 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. 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. All shares sold at reported price. Transaction reported represents a gift/charitable donation effective December 16, 2019 , in which no value was received in return. Brian P. LeClaire 2019-12-17