0000049071-16-000200.txt : 20161219
0000049071-16-000200.hdr.sgml : 20161219
20161219152157
ACCESSION NUMBER: 0000049071-16-000200
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: LeClaire Brian P.
CENTRAL INDEX KEY: 0001528285
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 162058821
MAIL ADDRESS:
STREET 1: HUMANA INC., 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
0001528285
LeClaire Brian P.
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
SVP & Chief Information Off.
Humana Common
2016-12-15
4
M
0
1092
0
A
18393
D
Humana Common
2016-12-15
4
F
0
548
206.595
D
17845
D
Humana Common
134
I
See Footnote
Options
72.84
2020-02-20
Humana Common
2254
2254
D
Options
102.155
2021-02-18
Humana Common
7450
7450
D
Options
164.645
2022-02-24
Humana Common
14913
14913
D
Options
167.805
2023-02-18
Humana Common
14764
14764
D
Restricted Stock Units
Humana Common
2447
2447
D
Restricted Stock Units
2016-12-15
4
M
0
1092
0
D
Humana Common
1092
2186
D
Phantom Stock Units
Humana Common
61
61
I
See Footnote
Stock units held for the benefit of reporting person as of November 30, 2016 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).
Right to buy pursuant to 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 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 2/18/14, 100% of the award is vesting on 2/18/17.
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.
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 fluctation due to changes in stock price.
Brian P. LeClaire
2016-12-16