0000049071-17-000156.txt : 20170825 0000049071-17-000156.hdr.sgml : 20170825 20170825133259 ACCESSION NUMBER: 0000049071-17-000156 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170823 FILED AS OF DATE: 20170825 DATE AS OF CHANGE: 20170825 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: 171051446 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 2017-08-23 0000049071 HUMANA INC HUM 0001699801 Fleming William Kevin 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 President, Hlthcare Svc Sgmt Humana Common 2017-08-23 4 S 0 3071 250.9801 D 7681 D Humana Common 116 I See Footnote Options 164.645 2022-02-24 Humana Common 7627 7627 D Options 167.805 2023-02-18 Humana Common 12015 12015 D Options 217.415 2024-03-08 Humana Common 20497 20497 D Restricted Stock Units 0 Humana Common 3341 3341 D Restricted Stock Units 0 Humana Common 1739 1739 D Restricted Stock Units 0 Humana Common 4713 4713 D Phantom Stock Units Humana Common 23 23 I See Footnote Shares held for the benefit of reporting person as of July 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). Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/24/2015, vesting in three increments from 02/24/2016 to 02/24/2018. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/18/2016, vesting in three increments from 02/18/2017 to 02/18/2019. 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 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 02/24/15, 100% of the award is vesting on 02/24/2018. Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/2017 and 12/15/2018. Restricted stock units granted to reporting person on 03/08/17, 2,989 shares vesting in three annual increments, and 1,724 shares fully vest three years from the date of grant. Phantom Stock Units held for the benefit of reporting person as of July 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. Shares sold at a price of $250.9801. William K. Fleming 2017-08-25