0000049071-16-000132.txt : 20160229 0000049071-16-000132.hdr.sgml : 20160229 20160229115525 ACCESSION NUMBER: 0000049071-16-000132 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160225 FILED AS OF DATE: 20160229 DATE AS OF CHANGE: 20160229 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 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: 161465766 MAIL ADDRESS: STREET 1: HUMANA INC., 500 W. MAIN ST. CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-02-25 0000049071 HUMANA INC HUM 0001528285 LeClaire Brian P. HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 SVP & Chief Information Off. Humana Common 2016-02-25 4 S 0 183 176.1059 D 17301 D Humana Common 133 I See Footnote Options 72.84 2020-02-20 Humana Common 2254 2254 D Options 102.155 2021-02-18 Humana Common 7450 7450 D Options 164.645 2022-02-24 Humana Common 14913 14913 D Options 167.805 2023-02-18 Humana Common 14764 14764 D Restricted Stock Units Humana Common 2447 2447 D Restricted Stock Units Humana Common 3278 3278 D Phantom Stock Units Humana Common 61 61 I See Footnote Stock units held for the benefit of reporting person as of January 31, 2016 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 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16. Right to buy pursuant to Company'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 Company'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 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 2/18/14, 100% of the award is vesting on 2/18/17. 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. Phantom Stock Units held for the benefit of reporting person as of January 31, 2016 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. Shares sold at price of $176.1059. Brian P. LeClaire 2016-02-29