0000049071-18-000149.txt : 20181218
0000049071-18-000149.hdr.sgml : 20181218
20181218161121
ACCESSION NUMBER: 0000049071-18-000149
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: Wheatley Timothy Alan
CENTRAL INDEX KEY: 0001699799
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 181240635
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
0001699799
Wheatley Timothy Alan
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Segment President, Retail
Humana Common
2018-12-15
4
M
0
870
0
A
5300
D
Humana Common
2018-12-15
4
F
0
405
304.045
D
4895
D
Humana Common
2018-12-15
4
M
0
996
0
A
5891
D
Humana Common
2018-12-15
4
F
0
464
304.045
D
5427
D
Humana Common
2018-12-15
4
M
0
511
0
A
5938
D
Humana Common
2018-12-15
4
F
0
238
304.045
D
5700
D
Humana Common
2018-12-15
4
M
0
107
0
A
5807
D
Humana Common
2018-12-15
4
F
0
50
304.045
D
5757
D
Humana Common
760
I
See Footnote
Options
167.805
2023-02-18
Humana Common
8010
8010
D
Options
217.415
2024-03-08
Humana Common
16165
16165
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
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
117
117
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 02/19/2019 to 02/19/2021.
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 02/18/16, 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.
Timothy A. Wheatley
2018-12-18