1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Options
(1)
|
Â
(1)
|
02/24/2022 |
Humana Common
|
8,136
|
$
164.645
|
D
|
Â
|
Options
(2)
|
Â
(2)
|
02/18/2023 |
Humana Common
|
8,010
|
$
167.805
|
D
|
Â
|
Restricted Stock Units
(3)
|
Â
(4)
|
Â
(4)
|
Humana Common
|
1,602
|
$
0
(3)
|
D
|
Â
|
Restricted Stock Units
(3)
|
Â
(5)
|
Â
(5)
|
Humana Common
|
1,739
|
$
0
(3)
|
D
|
Â
|
Phantom Stock Units
|
Â
(7)
|
Â
(7)
|
Humana Common
|
105
|
$
(7)
|
I
|
See Footnote
(7)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/24/2015, vesting in three increments from 02/24/2016 to 02/24/2018. |
(2) |
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/18/2016, vesting in three increments from 02/18/2017 to 02/18/2019. |
(3) |
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). |
(4) |
Restricted stock units granted to reporting person on 08/26/14, 100% of the award is vesting on 08/26/17. |
(5) |
Restricted stock units granted to reporting person on 02/18/16, 33% of the award is vesting on 12/15/16, 12/15/2017 and 12/15/2018. |
(6) |
Shares held for the benefit of reporting person as of February 28, 2017 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). |
(7) |
Phantom Stock Units held for the benefit of reporting person as of February 28, 2017 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. |