Statement of Changes in Beneficial Ownership (4)
22 February 2018 - 6:55AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
LeClaire Brian P.
|
2. Issuer Name
and
Ticker or Trading Symbol
HUMANA INC
[
HUM
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Information Officer
|
(Last)
(First)
(Middle)
HUMANA INC., 500 WEST MAIN STREET
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/19/2018
|
(Street)
LOUISVILLE, KY 40202
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Humana Common
|
|
|
|
|
|
|
|
9888
|
D
|
|
Humana Common
|
|
|
|
|
|
|
|
134
|
I
|
(See Footnote)
(1)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Options
(2)
|
$164.645
|
|
|
|
|
|
|
(2)
|
2/24/2022
|
Humana Common
|
4364
|
|
4364
|
D
|
|
Options
(3)
|
$167.805
|
|
|
|
|
|
|
(3)
|
2/18/2023
|
Humana Common
|
9843
|
|
9843
|
D
|
|
Options
(4)
|
$217.415
|
|
|
|
|
|
|
(4)
|
3/8/2024
|
Humana Common
|
23247
|
|
23247
|
D
|
|
Options
(5)
|
$268.47
|
2/19/2018
|
|
A
|
|
6221
|
|
(5)
|
2/19/2025
|
Humana Common
|
6221
|
$0
|
6221
|
D
|
|
Restricted Stock Units
(6)
|
(6)
|
|
|
|
|
|
|
(7)
|
(7)
|
Humana Common
|
1093
|
|
1093
|
D
|
|
Restricted Stock Units
(6)
|
(6)
|
|
|
|
|
|
|
(8)
|
(8)
|
Humana Common
|
4159
|
|
4159
|
D
|
|
Restricted Stock Units
(6)
|
(6)
|
2/19/2018
|
|
A
|
|
1443
|
|
(9)
|
(9)
|
Humana Common
|
1443
|
$0
|
1443
|
D
|
|
Phantom Stock Units
(10)
|
(10)
|
|
|
|
|
|
|
(10)
|
(10)
|
Humana Common
|
61
|
|
61
|
I
|
See Footnote
(10)
|
Explanation of Responses:
|
(1)
|
Stock units held for the benefit of reporting person as of January 31, 2018 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).
|
(2)
|
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.
|
(3)
|
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.
|
(4)
|
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.
|
(5)
|
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.
|
(6)
|
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).
|
(7)
|
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.
|
(8)
|
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.
|
(9)
|
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.
|
(10)
|
Phantom Stock Units held for the benefit of reporting person as of January 31, 2018 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.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
LeClaire Brian P.
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE, KY 40202
|
|
|
Chief Information Officer
|
|
Signatures
|
Brian P. LeClaire
|
|
2/21/2018
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Humana (NYSE:HUM)
Historical Stock Chart
From Apr 2024 to May 2024
Humana (NYSE:HUM)
Historical Stock Chart
From May 2023 to May 2024