0000049071-17-000032.txt : 20170222 0000049071-17-000032.hdr.sgml : 20170222 20170222191550 ACCESSION NUMBER: 0000049071-17-000032 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170218 FILED AS OF DATE: 20170222 DATE AS OF CHANGE: 20170222 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: Zipperle Cynthia H CENTRAL INDEX KEY: 0001628102 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 17630292 MAIL ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-02-18 0000049071 HUMANA INC HUM 0001628102 Zipperle Cynthia H HUMANA INC. 500 WEST MAIN ST LOUISVILLE KY 40202 0 1 0 0 Vice President, CAO,Controller Humana Common 2017-02-18 4 M 0 2584 0 A 6542 D Humana Common 2017-02-18 4 F 0 921 205.325 D 5621 D Humana Common 2017-02-21 4 M 0 4213 44.955 A 9834 D Humana Common 2017-02-21 4 S 0 4213 204.672 D 5621 D Humana Common 890 I See Footnote Options 44.955 2017-02-21 4 M 0 4213 0 D 2017-04-20 Humana Common 4213 0 D Options 67.4825 2019-12-13 Humana Common 1196 1196 D Restricted Stock Units 2017-02-18 4 M 0 1224 0 D Humana Common 1224 0 D Restricted Stock Units Humana Common 1063 1063 D Restricted Stock Units Humana Common 1590 1590 D Phantom Stock Units Humana Common 237 237 I See Footnote Right to buy pursuant to Company's 2003 Incentive Stock Plan. Non-Qualified stock options granted to reporting person on 04/20/10, vesting in three increments from 04/20/11 to 04/20/13. Right to buy pursuant to Company's 2003 Incentive Stock Plan. Non-Qualified stock options granted to reporting person on 12/13/12, vesting in three increments from 12/13/13 to 12/13/15. 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 02/18/14, 100% of the award is vesting on 02/18/17. Restricted stock units granted to reporting person on 02/24/15, 100% of the award is vesting on 02/24/18. 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. Shares held for the benefit of reporting person as of January 31, 2017 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). Phantom Stock Units held for the benefit of reporting person as of January 31, 2017 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. Includes both time based (1,224) and performance based (1,360) restricted stock units that vested on 2/18/17. Cynthia H. Zipperle 2017-02-22