0000049071-19-000009.txt : 20190104 0000049071-19-000009.hdr.sgml : 20190104 20190104090727 ACCESSION NUMBER: 0000049071-19-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190102 FILED AS OF DATE: 20190104 DATE AS OF CHANGE: 20190104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OBRIEN JAMES J /KY CENTRAL INDEX KEY: 0001023582 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 19508486 MAIL ADDRESS: STREET 1: ASHLAND INC. STREET 2: 50 E. RIVERCENTER BLVD CITY: COVINGTON STATE: KY ZIP: 41011 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 2019-01-02 0000049071 HUMANA INC HUM 0001023582 OBRIEN JAMES J /KY HUMANA INC. 500 W. MAIN STREET LOUISVILLE KY 40202 1 0 0 0 Humana Common 2646 I See Footnote Stock Unit Humana Common 28337 28337 D Stock Unit Humana Common 737 737 D Stock Unit 2019-01-02 4 A 0 588 0 A Humana Common 588 588 D Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1) and the total includes the vested portion that was subsequently deferred for years 2013 and later. Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d). 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) under the Company's 2011 Plan of which 100% is vesting on 12/31/2019. Due to scrivener's error, total direct shares were transposed on a prior Form 4. Total shares in Table I are now correct and transferred to revocable (indirect) trust (see footnote 5). Shares held by revocable trust account (March 2015), on which reporting person is the sole trustee, holding certain shares of Humana Inc. common stock. 870 shares were transferred from direct holding account to indirect revocable trust account in January 2017. The remaining 1,776 shares were transferred effective July 18, 2018. James J. O'Brien 2019-01-03