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