0000049071-17-000029.txt : 20170222 0000049071-17-000029.hdr.sgml : 20170222 20170222184300 ACCESSION NUMBER: 0000049071-17-000029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170218 FILED AS OF DATE: 20170222 DATE AS OF CHANGE: 20170222 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: BROUSSARD BRUCE D CENTRAL INDEX KEY: 0001185643 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 17630173 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-02-18 0000049071 HUMANA INC HUM 0001185643 BROUSSARD BRUCE D HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 1 1 0 0 President & CEO Humana Common 2017-02-18 4 M 0 53257 0 A 155108 D Humana Common 2017-02-18 4 F 0 25413 205.325 D 129695 D Humana Common 2017-02-21 4 M 0 17335 72.84 A 147030 D Humana Common 2017-02-21 4 M 0 50286 102.155 A 197316 D Humana Common 2017-02-21 4 F 0 974 205325.00 D 196.342 D Humana Common 2017-02-21 4 S 0 104256 205.233 D 92086 D Options 72.84 2017-02-21 4 M 0 17335 0 D 2020-02-20 Humana Common 17335 0 D Options 102.155 2017-02-21 4 M 0 50286 0 D 2021-02-18 Humana Common 50286 0 D Options 164.645 2022-02-24 Humana Common 118626 118626 D Options 167.805 2023-02-18 Humana Common 117441 117441 D Restricted Stock Units 2017-02-18 4 M 0 16519 0 D Humana Common 16519 0 D Restricted Stock Units Humana Common 17383 17383 D Right to buy pursuant to the 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 the 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 the 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 02/18/2014, 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. Includes both time based (16,519) and performance based (36,738) based restricted stock units that vested on 2/18/17. Shares sold at prices ranging from $203.62 to $206.39. Bruce D. Broussard 2017-02-22