0000049071-18-000049.txt : 20180301 0000049071-18-000049.hdr.sgml : 20180301 20180301140938 ACCESSION NUMBER: 0000049071-18-000049 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180228 FILED AS OF DATE: 20180301 DATE AS OF CHANGE: 20180301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARGULIS HEIDI S CENTRAL INDEX KEY: 0001103605 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 18656140 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 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 2018-02-28 0000049071 HUMANA INC HUM 0001103605 MARGULIS HEIDI S HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Chief Corp. Affairs Officer Humana Common 2018-02-28 4 M 0 607 164.645 A 11984 D Humana Common 2018-02-28 4 F 0 362 276.43 D 11622 D Humana Common 2018-02-28 4 S 0 3727 275.1742 D 7895 D Humana Common 2018-02-28 4 G 0 119 0 D 7776 D Options 102.155 2021-02-18 Humana Common 1444 1444 D Options 164.645 2018-02-28 4 M 0 607 0 D 2022-02-24 Humana Common 607 9335 D Options 167.805 2023-02-18 Humana Common 14764 14764 D Options 217.415 2024-03-08 Humana Common 19497 19497 D Options 268.47 2025-02-19 Humana Common 5218 5218 D Restricted Stock Units Humana Common 1093 1093 D Restricted Stock Units Humana Common 3487 3487 D Restricted Stock Units Humana Common 1211 1211 D Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17. Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/15, vesting in three increments from 02/24/16 to 02/24/18. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/16, vesting in three increments from 02/18/17 to 02/18/19. 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 6,499 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 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 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/17, and 12/15/18. Restricted stock units granted to reporting person on 03/08/2017, 2,989 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,494 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. Shares swapped for payment of purchase price on incentive stock option exercise using fair market value on February 27, 2018 pursuant to Humana Inc's 2011 Stock Incentive Plan. Price reported is the average sales price. This transaction represents a gift/charitable donation effective February 28, 2018. This is not a market transaction and no value was received in return for the shares. Heidi S. Margulis 2018-03-01