0000049071-16-000198.txt : 20161219
0000049071-16-000198.hdr.sgml : 20161219
20161219145301
ACCESSION NUMBER: 0000049071-16-000198
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: MURRAY JAMES E
CENTRAL INDEX KEY: 0001018658
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 162058753
MAIL ADDRESS:
STREET 1: 500 WEST MAIN STREET
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-12-15
0000049071
HUMANA INC
HUM
0001018658
MURRAY JAMES E
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
EVP & COO
Humana Common
2016-12-15
4
M
0
2383
0
A
60621
D
Humana Common
2016-12-15
4
F
0
1180
206.595
D
59441
D
Humana Common
27262
I
See Footnote
Humana Common
3983
I
See Footnote
Humana Common
1356
I
See Footnote
Humana Common
6522
I
See Footnote
Humana Common
1598
I
See Footnote
Options
102.155
2021-02-18
Humana Common
24584
24584
D
Options
164.645
2022-02-24
Humana Common
32538
32538
D
Options
167.805
2023-02-18
Humana Common
32212
32212
D
Restricted Stock Units
Humana Common
5384
5384
D
Restriced Stock Units
2016-12-15
4
M
0
2383
0
D
Humana Common
2383
4768
D
Phantom Stock Units
Humana Common
3802
3802
I
See Footnote
Shares held by reporting person's spouse.
Shares held in The Murray Family Partnership.
Shares held for the benefit of reporting person as of November 30, 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).
Right to buy pursuant to 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 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 02/18/14, 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.
Shares held in Family Trust - Mr. Murray's spouse is the trustee and his family members are the beneficiaries.
Phantom Stock Units (based on the value of Humana common stock) held for the benefit of reporting person as of November 30, 2016, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctuation due to changes in stock price.
Shares held in October 2016 GRAT.
James E. Murray
2016-12-16