0000049071-16-000202.txt : 20161222
0000049071-16-000202.hdr.sgml : 20161222
20161222095709
ACCESSION NUMBER: 0000049071-16-000202
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161220
FILED AS OF DATE: 20161222
DATE AS OF CHANGE: 20161222
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: BEVERIDGE, ROY A
CENTRAL INDEX KEY: 0001579300
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 162065254
BUSINESS ADDRESS:
STREET 1: 500 W MAIN ST
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
BUSINESS PHONE: 502-580-3778
MAIL ADDRESS:
STREET 1: 500 W MAIN ST
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2016-12-20
0000049071
HUMANA INC
HUM
0001579300
BEVERIDGE, ROY A
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Sr. VP & Chief Medical Officer
Humana Common
2016-12-20
4
M
0
8500
81.795
A
13760
D
Humana Common
2016-12-20
4
F
0
5972
201.26
D
7788
D
Options
81.795
2016-12-20
4
M
0
8500
0
D
2020-06-17
Humana Common
8500
15581
D
Options
102.155
2021-02-18
Humana Common
15086
15086
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
3304
3304
D
Restricted Stock Units
Humana Common
2186
2186
D
Right to buy pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 06/17/13, vesting in three increments from 06/17/14 to 06/17/16.
Right to buy pursuant to Humana Inc.'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 Humana Inc.'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.
The total amount of shares withheld for taxes and swapped for purchase price is 5,960. The amount of shares required for swap on purchase price for shares exercised under the Company's 2011 Stock Incentive Plan was determined using a Fair Market Value ("FMV") of $202.9150 on 12/19/2016, pursuant to the Plan. Shares withheld for taxes was determined using the FMV on 12/20/2016 ($201.260), pursuant to the Plan.
Roy A. Beveridge
2016-12-22