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