0000049071-20-000143.txt : 20201106 0000049071-20-000143.hdr.sgml : 20201106 20201106131048 ACCESSION NUMBER: 0000049071-20-000143 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201104 FILED AS OF DATE: 20201106 DATE AS OF CHANGE: 20201106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fleming William Kevin CENTRAL INDEX KEY: 0001699801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 201293514 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET 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 2020-11-04 0000049071 HUMANA INC HUM 0001699801 Fleming William Kevin HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Seg Pres, Clin & Phm Solutions Humana Common 2020-11-04 4 M 0 459 217.415 A 7628 D Humana Common 2020-11-04 4 F 0 238 420.0525 D 7390 D Humana Common 2020-11-04 4 M 0 918 217.415 A 8308 D Humana Common 2020-11-04 4 F 0 476 420.0525 D 7832 D Humana Common 2020-11-04 4 M 0 4333 217.415 A 12165 D Humana Common 2020-11-04 4 M 0 7040 217.415 A 19205 D Humana Common 2020-11-04 4 S 0 11373 451.7078 D 7832 D Humana Common 2020-11-05 4 G 0 542 0 D 7290 D Humana Common 2020-06-30 4 G 0 1330 0 D 5960 D Humana Common 117 I See Footnote Options 217.415 2020-11-04 4 M 0 12750 0 D 2024-03-08 Humana Common 12750 0 D Options 268.47 2025-02-19 Humana Common 6623 6623 D Options 271.14 2025-03-01 Humana Common 1391 1391 D Options 307.965 2026-02-25 Humana Common 7184 7184 D Options 350.7875 2027-02-24 Humana Common 6446 6446 D Restricted Stock Units Humana Common 513 513 D Restricted Stock Units Humana Common 108 108 D Restricted Stock Units Humana Common 1083 1083 D Restricted Stock Units Humana Common 1283 1283 D Phantom Stock Units Humana Common 23 23 I See Footnote Shares held for the benefit of reporting person as of October 31, 2020 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). 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. 12,998 options vesting in three annual increments, and 7,499 options fully vest three years from the date of grant. 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 2/19/19 to 2/19/21. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/1/2018, vesting in three increments from 3/1/19 to 3/1/21. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22. Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23. 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). 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). 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 03/1/18, 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 2/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21. Restricted stock units granted to reporting person on 02/24/2020, 33% of the award is vesting on 12/15/20, 12/15/21, and 12/15/22. Phantom Stock Units held for the benefit of reporting person as of October 31, 2020 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 fluctuation due to changes in stock price. Shares swapped for the payment of purchase price on stock option exercise using fair market value on November 3, 2020 pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Shares represent a charitable gift/donation, effective November 5, 2020, in which no value was received in return. Shares represent a charitable gift/donation, effective June 30, 2020, in which no value was received in return. Shares sold at prices ranging from $450.00 to $454.515. Price reported is weighted average sales price. William K. Fleming 2020-11-06