0000049071-16-000190.txt : 20161219 0000049071-16-000190.hdr.sgml : 20161219 20161219122405 ACCESSION NUMBER: 0000049071-16-000190 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161215 FILED AS OF DATE: 20161219 DATE AS OF CHANGE: 20161219 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: Zipperle Cynthia H CENTRAL INDEX KEY: 0001628102 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 162058370 MAIL ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-12-15 0000049071 HUMANA INC HUM 0001628102 Zipperle Cynthia H HUMANA INC. 500 WEST MAIN ST LOUISVILLE KY 40202 0 1 0 0 Vice President, CAO,Controller Humana Common 2016-12-15 4 M 0 794 0 A 4235 D Humana Common 2016-12-15 4 F 0 277 206.595 D 3958 D Humana Common 887 I See Footnote Options 44.955 2017-04-20 Humana Common 4213 4213 D Options 67.4825 2019-12-13 Humana Common 1196 1196 D Restricted Stock Units Humana Common 1224 1224 D Restricted Stock Units Humana Common 1063 1063 D Restricted Stock Units 2016-12-15 4 M 0 794 0 D Humana Common 794 1590 D Phantom Stock Units Humana Common 236 236 I See Footnote Right to buy pursuant to Company's 2003 Incentive Stock Plan. Non-Qualified stock options granted to reporting person on 04/20/10, vesting in three increments from 04/20/11 to 04/20/13. Right to buy pursuant to Company's 2003 Incentive Stock Plan. Non-Qualified stock options granted to reporting person on 12/13/12, vesting in three increments from 12/13/13 to 12/13/15. 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 02/18/14, 100% of the award is vesting on 02/18/17. Restricted stock units granted to reporting person on 02/24/15, 100% of the award is vesting on 02/24/18. 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. Shares held for the benefit of reporting person as of January 31, 2016 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c). Phantom Stock Units held for the benefit of reporting person as of November 30, 2016 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctuation due to changes in stock price. Cynthia H. Zipperle 2016-12-16