0000049071-16-000181.txt : 20161026
0000049071-16-000181.hdr.sgml : 20161026
20161026150532
ACCESSION NUMBER: 0000049071-16-000181
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161025
FILED AS OF DATE: 20161026
DATE AS OF CHANGE: 20161026
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: 161952500
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
2016-10-25
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
52198
I
(GRAT #1) See Footnote
Humana Common
54050
I
(GRAT #2) 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 are held for reporting person in a revocable trust.
Shares held by spouse as custodian for son.
Shares held by spouse as custodian for daughter.
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 17, 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 #1) exempt from Rule 16(a)-13, on which he is the sole trustee. On October 21, 2016 reporting person transferred 54,050 shares from GRAT #1 to his revocable trust.
On October 25, 2016, the reporting person established a new grantor retained annuity trust (GRAT #2) exempt from Rule 16(a)-13, on which he is the sole trustee, and transferred 54,050 shares from revocable trust to GRAT #2.
David A. Jones, Jr.
2016-10-26