0000049071-20-000054.txt : 20200310 0000049071-20-000054.hdr.sgml : 20200310 20200310113259 ACCESSION NUMBER: 0000049071-20-000054 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200308 FILED AS OF DATE: 20200310 DATE AS OF CHANGE: 20200310 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: 20700494 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 2020-03-08 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 2020-03-08 4 M 0 1149 0 A 2078 D Humana Common 2020-03-08 4 F 0 363 359.8475 D 1715 D Humana Common 2114 I See Footnote Options 350.7875 2027-02-24 Humana Common 4298 4298 D Restricted Stock Units 2020-03-08 4 M 0 1149 0 D Humana Common 1149 0 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 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. Susan M. Diamond 2020-03-10