0000049071-20-000050.txt : 20200303 0000049071-20-000050.hdr.sgml : 20200303 20200303144212 ACCESSION NUMBER: 0000049071-20-000050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200228 FILED AS OF DATE: 20200303 DATE AS OF CHANGE: 20200303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Diamond Susan M CENTRAL INDEX KEY: 0001782445 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 20681494 MAIL ADDRESS: STREET 1: 500 W MAIN ST. 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 2020-02-28 0000049071 HUMANA INC HUM 0001782445 Diamond Susan M HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Segment President, Home Bus. Humana Common 929 D Humana Common 2020-02-28 4 P 0 1785 319.68 A 2114 I See Footnote Options 350.7875 2027-02-24 Humana Common 4298 4298 D Restricted Stock Units Humana Common 1149 1149 D Restricted Stock Units Humana Common 1242 1242 D Restricted Stock Units Humana Common 563 563 D Restricted Stock Units Humana Common 1023 1023 D Restricted Stock Units Humana Common 872 872 D Restricted Stock Units Humana Common 855 855 D Phantom Stock Units 2020-02-28 4 P 0 317 319.68 A Humana Common 317 317 I See Footnote. Shares held for the benefit of the reporting person as of February 28, 2020 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 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23. 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). Right to receive one share per restricted stock unit pursuant to the Company's 2019 Amended & Restated 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 03/08/17. 2,299 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19; and 1,149 shares fully vesting three years from the date of grant. Shares reported are what remain unvested. Restricted stock units granted to reporting person on 02/19/18, 931 shares vesting in three annual increments on 12/15/18, 12/15/19 and 12/15/20. and 931 shares vest fully three years from the date of grant. Shares reported are what remain unvested. Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/2021. Restricted stock units granted to reporting person on 06/01/19, 100% of the award is vesting on 6/1/2022. Restricted stock units granted to reporting person on 07/01/19, 33% of the award is vesting on 07/01/20, 07/01/21, and 07/01/2022. Restricted stock units granted to reporting person on 02/24/2020, 33% of the award is vesting on 12/15/20, 12/15/21, and 12/15/22. Phantom Stock Units held for the benefit of reporting person as of February 28, 2020 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. Shares purchased through Retirement Savings Plan, valued at closing HUM stock price of $319.68. Shares purchased through Retirement Equalization Plan, valued at closing HUM stock price of $319.68. Susan M. Diamond 2020-03-03