0000049071-19-000089.txt : 20190826
0000049071-19-000089.hdr.sgml : 20190826
20190826145827
ACCESSION NUMBER: 0000049071-19-000089
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190822
FILED AS OF DATE: 20190826
DATE AS OF CHANGE: 20190826
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: 191052335
MAIL ADDRESS:
STREET 1: HUMANA INC., 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
2019-08-22
0000049071
HUMANA INC
HUM
0001528285
LeClaire Brian P.
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Strategic Advisor
Humana Common
2019-08-22
4
M
0
5166
217.415
A
12994
D
Humana Common
2019-08-22
4
M
0
2073
268.47
A
15067
D
Humana Common
2019-08-22
4
S
0
7239
289.701
D
7828
D
Humana Common
136
I
(See Footnote)
Options
217.415
2019-08-22
4
M
0
5166
0
D
2024-03-08
Humana Common
5166
12916
D
Options
268.47
2019-08-22
4
M
0
2073
0
D
2025-02-19
Humana Common
2073
4148
D
Options
307.965
2026-02-25
Humana Common
5568
5568
D
Restricted Stock Units
Humana Common
2971
2971
D
Restricted Stock Units
Humana Common
963
963
D
Restricted Stock Units
Humana Common
1258
1258
D
Phantom Stock Units
Humana Common
62
62
I
See Footnote
Stock units held for the benefit of reporting person as of July 31, 2019 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 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 15,498 options vesting in three annual increments, and 7,749 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 buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/19, vesting in three increments from 02/25/20 to 02/25/22.
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 03/08/2017, 3,564 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,782 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.
Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/21.
Phantom Stock Units held for the benefit of reporting person as of July 31, 2019 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 prices ranging from $288.86 to $291.18. Price reported is weighted average sales price.
Brian P. LeClaire
2019-08-26