0000049071-16-000180.txt : 20161024 0000049071-16-000180.hdr.sgml : 20161024 20161024134746 ACCESSION NUMBER: 0000049071-16-000180 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161021 FILED AS OF DATE: 20161024 DATE AS OF CHANGE: 20161024 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: JONES DAVID A JR/KY CENTRAL INDEX KEY: 0001025393 STATE OF INCORPORATION: KY FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 161947843 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-10-21 0000049071 HUMANA INC HUM 0001025393 JONES DAVID A JR/KY CHRYSALIS VENTURES, INC. 101 S. FIFTH STREET, SUITE 1650 LOUISVILLE KY 40202 1 0 0 0 Humana Common 20802 D Humana Common 1300 I See Footnote Humana Common 1300 I See Footnote Humana Common 2016-10-21 4 G 0 54050 0 D 52198 I See Footnote Humana Common 2016-10-21 4 G 0 54050 0 A 54050 I See Footnote Restricted Stock Units Humana Common 5022 5022 D Restricted Stock Units Humana Common 95 95 D Restricted Stock Units Humana Common 870 870 D Shares held by spouse as custodian for daughter. Shares held by spouse as custodian for son. Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d). 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) under the Company's 2011 Plan. 100% of the award is vesting on 12/31/2016. On September 17th, 2015, the reporting person transferred 106,248 shares of Humana Inc. common stock from his revocable trust to a new grantor retained annuity trust (GRAT) exempt from Rule 16(a)-13, on which he is the sole trustee. On October 21, 2016 reporting person transferred 54,050 shares from the GRAT to his revocable trust. David A. Jones, Jr. 2016-10-24