0000049071-17-000086.txt : 20170323
0000049071-17-000086.hdr.sgml : 20170323
20170323163927
ACCESSION NUMBER: 0000049071-17-000086
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170321
FILED AS OF DATE: 20170323
DATE AS OF CHANGE: 20170323
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: Wheatley Timothy Alan
CENTRAL INDEX KEY: 0001699799
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 17710124
MAIL ADDRESS:
STREET 1: 500 WEST MAIN STREET
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-03-21
0000049071
HUMANA INC
HUM
0001699799
Wheatley Timothy Alan
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
President, Retail Segment
Humana Common
0
D
Humana Common
638
I
See Footnote
Options
164.645
2022-02-24
Humana Common
8136
8136
D
Options
167.805
2023-02-18
Humana Common
8010
8010
D
Options
217.415
2024-03-08
Humana Common
20497
20497
D
Restricted Stock Units
0
Humana Common
1602
1602
D
Restricted Stock Units
0
Humana Common
1739
1739
D
Restricted Stock Units
0
Humana Common
4713
4713
D
Phantom Stock Units
2017-03-21
4
J
0
3
213.55
A
Humana Common
3
108
I
See Footnote
Shares held for the benefit of reporting person as of February 28, 2017 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. Non-Qualified stock options granted to reporting person on 02/24/2015, vesting in three increments from 02/24/2016 to 02/24/2018.
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/18/2016, vesting in three increments from 02/18/2017 to 02/18/2019.
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 12,998 options vesting in three annual increments, and 7,499 options fully vest three years from the date of grant.
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 08/26/14, 100% of the award is vesting on 08/26/2017.
Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/2017 and 12/15/2018.
Restricted stock units granted to reporting person on 03/08/17, 2,989 shares vesting in three annual increments, and 1,724 shares fully vest three years from the date of grant.
Phantom Stock Units held for the benefit of reporting person as of March 21, 2017 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.
Timothy A. Wheatley
2017-03-22