0000049071-19-000112.txt : 20191205
0000049071-19-000112.hdr.sgml : 20191205
20191205090133
ACCESSION NUMBER: 0000049071-19-000112
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191203
FILED AS OF DATE: 20191205
DATE AS OF CHANGE: 20191205
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wheatley Timothy Alan
CENTRAL INDEX KEY: 0001699799
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 191269555
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
2019-12-03
0000049071
HUMANA INC
HUM
0001699799
Wheatley Timothy Alan
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Segment President, Retail
Humana Common
2019-12-03
4
M
0
8010
167.805
A
13767
D
Humana Common
2019-12-03
4
M
0
4333
217.415
A
18100
D
Humana Common
2019-12-03
4
M
0
2207
268.47
A
20307
D
Humana Common
2019-12-03
4
M
0
463
271.14
A
20770
D
Humana Common
2019-12-03
4
S
0
14554
341.3149
D
6216
D
Humana Common
2019-12-03
4
S
0
465
341.0687
D
5751
D
Humana Common
844
I
See Footnote
Options
167.805
2019-12-03
4
M
0
8010
0
D
2023-02-18
Humana Common
8010
0
D
Options
217.415
2019-12-03
4
M
0
4333
0
D
2024-03-08
Humana Common
4333
11832
D
Options
268.47
2019-12-03
4
M
0
2207
0
D
2025-02-19
Humana Common
2207
4416
D
Options
271.14
2019-12-03
4
M
0
463
0
D
2025-03-01
Humana Common
463
928
D
Options
307.965
2026-02-25
Humana Common
7902
7902
D
Restricted Stock Units
Humana Common
2721
2721
D
Restricted Stock Units
Humana Common
1025
1025
D
Restricted Stock Units
Humana Common
216
216
D
Restricted Stock Units
Humana Common
1786
1786
D
Phantom Stock Units
Humana Common
127
127
I
See Footnote
Shares held for the benefit of reporting person as of November 30, 2019 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 02/18/2016, 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 buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 02/19/2019 to 02/19/2021.
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/1/2018, vesting in three increments from 3/1/19 to 3/1/21.
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
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 03/08/17, 2,989 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,724 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 03/1/18, 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 November 30, 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 fluctuation due to changes in stock price.
Price reported is weighted average sales price.
All shares sold at reported price.
Timothy A. Wheatley
2019-12-05