0000049071-16-000185.txt : 20161115 0000049071-16-000185.hdr.sgml : 20161115 20161115140833 ACCESSION NUMBER: 0000049071-16-000185 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161111 FILED AS OF DATE: 20161115 DATE AS OF CHANGE: 20161115 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: 161999100 MAIL ADDRESS: STREET 1: 500 W. MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-11-11 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 2016-11-11 4 M 0 14041 72.84 A 36283 D Humana Common 2016-11-11 4 M 0 10057 102.155 A 46340 D Humana Common 2016-11-11 4 M 0 7004 164.654 A 53344 D Humana Common 2016-11-11 4 F 0 22606 D 30738 D Options 72.84 2016-11-11 4 M 0 14041 0 D 2020-02-20 Humana Common 14041 0 D Options 102.155 2016-11-11 4 M 0 10057 0 D 2021-02-18 Humana Common 10057 5029 D Options 164.645 2016-11-11 4 M 0 7004 0 D 2022-02-24 Humana Common 7004 14010 D Options 167.805 2023-02-18 Humana Common 20804 20804 D Restricted Stock Units Humana Common 3304 3304 D Restricted Stock Units 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 02/18/2014, 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. The total amount of shares swapped for taxes and purchase price is 22,606. The amount of shares required for swap on purchase price for shares exercised under the Company's 2011 Stock Incentice Plan was determined using a Fair Market Value ("FMV") of $191.1250 on 11/10/2016, pursuant to the Plan. The amount of shares required for swap on purchase price for shares exercised under the Company's 2003 Stock Incentive Plan was determined using a FMV of $194.2226 on 11/11/2016, pursuant to the Plan. Shares swapped for taxes was determined using the FMV on 11/11/2016 ($194.2226). Timothy S. Huval 2016-11-15