0000049071-20-000167.txt : 20201217 0000049071-20-000167.hdr.sgml : 20201217 20201217134546 ACCESSION NUMBER: 0000049071-20-000167 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201215 FILED AS OF DATE: 20201217 DATE AS OF CHANGE: 20201217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fleming William Kevin CENTRAL INDEX KEY: 0001699801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 201395362 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 2020-12-15 0000049071 HUMANA INC HUM 0001699801 Fleming William Kevin HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Seg Pres, Clin & Phm Solutions Humana Common 2020-12-15 4 M 0 513 0 A 6473 D Humana Common 2020-12-15 4 F 0 235 390.485 D 6238 D Humana Common 2020-12-15 4 M 0 108 0 A 6346 D Humana Common 2020-12-15 4 F 0 50 390.485 D 6296 D Humana Common 2020-12-15 4 M 0 541 0 A 6837 D Humana Common 2020-12-15 4 F 0 248 390.485 D 6589 D Humana Common 2020-12-15 4 M 0 427 0 A 7016 D Humana Common 2020-12-15 4 F 0 196 390.485 D 6820 D Humana Common 2020-12-16 4 S 0 860 395.23 D 5960 D Humana Common 117 I See Footnote Options 268.47 2025-02-19 Humana Common 6623 6623 D Options 271.14 2025-03-01 Humana Common 1391 1391 D Options 307.965 2026-02-25 Humana Common 7184 7184 D Options 350.7875 2027-02-24 Humana Common 6446 6446 D Restricted Stock Units 2020-12-15 4 M 0 513 0 D Humana Common 513 0 D Restricted Stock Units 2020-12-15 4 M 0 108 0 D Humana Common 108 0 D Restricted Stock Units 2020-12-15 4 M 0 541 0 D Humana Common 541 542 D Restricted Stock Units 2020-12-15 4 M 0 427 0 D Humana Common 427 856 D Phantom Stock Units Humana Common 23 23 I See Footnote Shares held for the benefit of reporting person as of November 30, 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 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 2/19/19 to 2/19/21. 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 buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22. 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 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. Restricted stock units granted to reporting person on 2/25/19, 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. Phantom Stock Units held for the benefit of reporting person as of November 30, 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. All shares sold at reported price. William K. Fleming 2020-12-17