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