Form Type: 4

SEC EDGAR Link
Acccession Number:0000049071-19-000092
Date:2019-09-01
Issuer: HUMANA INC (HUM)
Original Submission Date:

Reporting Person:

COX HEATHER
HUMANA INC.
500 W. MAIN ST. LOUISVILLE, KY 40202

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
HUMANA COMMON 2019-09-01 M 751 a $0.00 751 direct
HUMANA COMMON 2019-09-01 F 227 d $282.29 524 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2019-09-01 deemed execution date M 751 (d) humana common 751 $0.00 1,503 direct
OPTIONS 332.675 deemed execution date 0 ( ) 2025-09-01 humana common 10,155 $332.68 10,155 direct
OPTIONS 307.965 deemed execution date 0 ( ) 2026-02-25 humana common 5,388 $307.97 5,388 direct
RESTRICTED STOCK UNITS 0.0 deemed execution date 0 ( ) humana common 1,218 $0.00 1,218 direct
Footnotes
IDfootnote
f1 right to buy pursuant to company's 2011 stock incentive plan. incentive & non-qualified stock options granted to reporting person on 9/1/2018, vesting in three increments from 9/1/19 to 9/1/21.
f2 right to buy pursuant to company's 2011 stock incentive plan. incentive & non-qualified stock options granted to reporting person on 2/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
f3 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).
f4 restricted stock units granted to reporting person on 9/1/2018, 33% of the award is vesting on 9/1/2019, 9/1/2020 and 9/1/2021.
f5 restricted stock units granted to reporting person on 2/25/2019, 33% of the award is vesting on 12/15/2019, 12/15/2020 and 12/15/2021.

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