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