0000049071-18-000148.txt : 20181218 0000049071-18-000148.hdr.sgml : 20181218 20181218160916 ACCESSION NUMBER: 0000049071-18-000148 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181215 FILED AS OF DATE: 20181218 DATE AS OF CHANGE: 20181218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fleming William Kevin CENTRAL INDEX KEY: 0001699801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 181240623 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-12-15 0000049071 HUMANA INC HUM 0001699801 Fleming William Kevin HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Seg President, Healthcare Svcs Humana Common 2018-12-15 4 M 0 870 0 A 8893 D Humana Common 2018-12-15 4 F 0 399 304.045 D 8494 D Humana Common 2018-12-15 4 M 0 996 0 A 9490 D Humana Common 2018-12-15 4 F 0 457 304.045 D 9033 D Humana Common 2018-12-15 4 M 0 511 0 A 9544 D Humana Common 2018-12-15 4 F 0 235 304.045 D 9309 D Humana Common 2018-12-15 4 M 0 107 0 A 9416 D Humana Common 2018-12-15 4 F 0 50 304.045 D 9366 D Humana Common 2018-12-18 4 S 0 2043 295.0259 D 7323 D Humana Common 2018-12-18 4 G 0 660 D 6663 D Humana Common 116 I See Footnote Options 167.805 2023-02-18 Humana Common 4005 4005 D Options 217.415 2024-03-08 Humana Common 20497 20497 D Options 268.47 2025-02-19 Humana Common 6623 6623 D Options 271.14 2025-03-01 Humana Common 1391 1391 D Restricted Stock Units Humana Common 3341 3341 D Restricted Stock Units 2018-12-15 4 M 0 870 0 D Humana Common 870 0 D Restricted Stock Units 2018-12-15 4 M 0 996 0 D Humana Common 996 2721 D Restricted Stock Units 2018-12-15 4 M 0 511 0 D Humana Common 511 1025 D Restricted Stock Units 2018-12-15 4 M 0 107 0 D Humana Common 107 216 D Phantom Stock Units Humana Common 23 23 I See Footnote Shares held for the benefit of reporting person as of November 30, 2018 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 02/18/2016, 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 buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 2/19/19 to 2/19/21. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/1/2018, vesting in three increments from 3/1/19 to 3/1/21. 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 02/24/15, 100% of the award is vesting on 02/24/2018. 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 on 12/15/17, 12/15/18, and 12/15/19. 1,724 shares fully vest three years from the date of grant. Restricted stock units granted to reporting person on 02/19/18, 33% of the award is vesting on 12/15/18, 12/15/19 and 12/15/20. Restricted stock units granted to reporting person on 03/1/18, 33% of the award is vesting on 12/15/18, 12/15/19 and 12/15/20. Phantom Stock Units held for the benefit of reporting person as of November 30, 2018 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. Price reported is weighted average sales price. This transaction represents a gift/charitable donation effective December 18, 2018, in which no value was received in return. William K. Fleming 2018-12-18