0000049071-20-000055.txt : 20200310 0000049071-20-000055.hdr.sgml : 20200310 20200310113421 ACCESSION NUMBER: 0000049071-20-000055 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: Huval Timothy S. CENTRAL INDEX KEY: 0001565717 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 20700495 MAIL ADDRESS: STREET 1: 500 W. 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 2020-03-08 0000049071 HUMANA INC HUM 0001565717 Huval Timothy S. HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Chief Administrative Officer Humana Common 2020-03-08 4 M 0 1782 0 A 9774 D Humana Common 2020-03-08 4 F 0 802 359.8475 D 8972 D Humana Common 2020-03-09 4 M 0 459 217.415 A 9431 D Humana Common 2020-03-09 4 F 0 278 359.8475 D 9153 D Humana Common 2020-03-09 4 M 0 5167 217.415 A 14320 D Humana Common 2020-03-09 4 M 0 7290 217.415 A 21610 D Humana Common 2020-03-09 4 S 0 12457 342.8916 D 9153 D Humana Common 2020-03-09 4 S 0 980 343.06 D 8173 D Options 217.415 2020-03-09 4 M 0 12916 0 D 2024-03-08 Humana Common 12916 0 D Options 268.47 2025-02-19 Humana Common 4416 4416 D Options 307.965 2026-02-25 Humana Common 6106 6106 D Options 350.7875 2027-02-24 Humana Common 6088 6088 D Restricted Stock Units 2020-03-08 4 M 0 1782 0 D Humana Common 1782 0 D Restricted Stock Units Humana Common 513 513 D Restricted Stock Units Humana Common 920 920 D Restricted Stock Units Humana Common 1212 1212 D 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. 15,498 options vesting in three annual increments, and 7,749 options fully vest three years from the date of grant. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/18, vesting in three increments from 02/19/19 to 02/19/21. Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/19, vesting in three increments from 02/25/20 to 02/25/22. 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 03/08/2017, 3,564 shares vesting in three annual increments on 12/15/17, 12/15/18, and 12/15/19. 1,782 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 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/21. 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. Shares swapped for the payment of purchase price on stock option exercise, using Fair Market Value of Humana Inc. common stock on March 6, 2020. Price reported is weighted avg sales price. All shares sold at price reported. Timothy S. Huval 2020-03-10