0000049071-16-000125.txt : 20160222 0000049071-16-000125.hdr.sgml : 20160222 20160222182957 ACCESSION NUMBER: 0000049071-16-000125 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160218 FILED AS OF DATE: 20160222 DATE AS OF CHANGE: 20160222 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: Huval Timothy S. CENTRAL INDEX KEY: 0001565717 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 161446382 MAIL ADDRESS: STREET 1: 500 W. MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-02-18 0000049071 HUMANA INC HUM 0001565717 Huval Timothy S. HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Senior VP & Chief HR Officer Humana Common 2016-02-20 4 M 0 19090 0 A 30859 D Humana Common 2016-02-20 4 F 0 8617 166.345 D 22242 D Options 72.84 2020-02-20 Humana Common 14041 14041 D Options 102.155 2021-02-18 Humana Common 15086 15086 D Options 164.645 2022-02-24 Humana Common 21014 21014 D Options 167.805 2016-02-18 4 A 0 20804 0 A 2023-02-18 Humana Common 20804 20804 D Restricted Stock Units 2016-02-20 4 M 0 4633 0 D Humana Common 4633 0 D Restricted Stock Units Humana Common 3304 3304 D Restricted Stock Units 2016-02-18 4 A 0 4618 0 A Humana Common 4618 4618 D Right to buy pursuant to the Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16. Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17. Right to buy pursuant to the 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. 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. 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 02/20/2013, 100% of the award is vesting on 02/20/16. Restricted stock units granted to Reporting Person on 02/18/2014, 100% of the award is vesting on 02/18/17. 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. Includes both time and performance-based restricted stock units that vested on 2/20/2016. Timothy S. Huval 2016-02-22