UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.
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SEC USE ONLY
DOCUMENT SEQUENCE NO.
CUSIP NUMBER
WORK LOCATION
1 (a) | NAME OF ISSUER (Please type or print) | (b) IRS IDENT. NO. | (c) S.E.C. FILE | ||||||||||
Humana Inc. | 61-0647538 | NO. | |||||||||||
1-5975 | |||||||||||||
1 (d) | ADDRESS OF ISSUER | STREET | CITY | STATE | ZIP CODE | (e) TELEPHONE | |||||||
500 West Main Street | Louisville | KY | 40202 | AREA CODE | NUMBER | ||||||||
502 | 580-1000 | ||||||||||||
2 (a) | NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES | (b) RELATIONSHIP TO | (c) | ADDRESS STREET | CITY | STATE | ZIP CODE | ||||||
ARE TO BE SOLD | ISSUER | ||||||||||||
Brian P. LeClaire | Chief Information Officer | 500 W. Main Street | Louisville | KY | 40202 | ||||||||
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. identification Number and the S.E.C. File Number | |||||||||||||
3 (a) | (b) | SEC USE ONLY(c) | (d) | (e) | (f) | (g) | |||||||
Title of the | Number of Shares | Aggregate | Number of Shares | Approximate Date of Sale | Name of | ||||||||
Class of | Name and Address of Each Broker Through Whom | Broker-Dealer | or Other Units | Market | or Other Units | (See Instr. 3(f)) | Each | ||||||
Securities | the Securities Are To Be Offered or Each Market | File Number | To Be Sold | Value | Outstanding | (MO. DAY YR.) | Securities | ||||||
To Be Sold | Maker who is Acquiring the Securities | (See Instr. 3 (c)) | (See Instr. 3(d) | (See Instr. 3(e)) | Exchange | ||||||||
(See instr. | |||||||||||||
3 g)) | |||||||||||||
Common | Charles Schwab & Co., Inc. | 7,239 | $2,149,403.88 | 135,089,290 as of | 8/22/2019 | NYSE | |||||||
9899 Schwab Way | based on FMV on | 6/30/2019 | |||||||||||
Lone Tree, CO 80124 | 8/21/2019 | ||||||||||||
of $296.92 | |||||||||||||
INSTRUCTIONS: | 3. (a) | Title of the class of securities to be sold | |||||||||||
1. (a) | Name of Issuer | (b) | Name and Address of each broker through whom the securities are intended to be sold | ||||||||||
(b) | Issuer's I.R.S. Identification Number | (c) | Number of shares or other units to be sold (if debt securities, give the aggregate face amount) | ||||||||||
(c) | Issuer's S.E.C. file number, if any | (d) | Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice | ||||||||||
(d) | Issuer's address, including zip code | (e) | Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown | ||||||||||
(e) | Issuer's telephone number, including area code | by the most recent report or statement published by the issuer | |||||||||||
(f) | Approximate date on which the securities are to be sold | ||||||||||||
(g) | Name of each securities exchange, if any, on which the securities are intended to be sold |
2. (a) Name of person for whose account the securities are to be sold
- Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
- Such person's address, including zip code
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
SEC 1147 (08-07)
TABLE I - SECURITIES TO BE SOLD | ||||||
Furnish the following information with respect to the acquisition of the securities to be sold | ||||||
and with respect to the payment of all or any part of the purchase price or other consideration therefor. | ||||||
Title of | Date you | Nature of Acquisition Transaction | Name of the Person from Whom Acquired | Amount | Date of | Nature |
the Class | Acquired | (if gift, also give date donor acquired | of | Payment | of | |
Securities | Payment | |||||
Acquired | ||||||
Common | 8/22/19 | Stock Option Exercise | Issuer | 2,073 | 8/22/2019 | Cash |
Common | 8/22/19 | Stock Option Exercise | Issuer | 5,166 | 8/22/2019 | Cash |
INSTRUCTIONS:If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
_____________________________________________________________________________________________________________________________________________________________________________
TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS (1)
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be
sold.
Amount of | |||
Name and Address of Seller | Title of Securities Sold | Date of Sale Securities Sold | Gross Proceeds |
REMARKS: | |||
INSTRUCTIONS: | ATTENTION: |
See the definition of "person" in paragraph (a) of Rule 144. Information isThe person for whose account the securities to which this notice relates are to be to be given not only as to the person for whose account the securities aresold hereby represents by signing this notice that he does not know any material to be sold but also as to all other persons included in that definition. Inadverse information in regard to the current and prospective operations of the addition, information shall be given as to sales by all persons whose salesissuer of the securities to be sold which has not been publicly disclosed. If each are required by paragraph (e) of Rule 144 to be aggregated with sales forperson has adopted a written trading plan or given trading instructions to satisfy
the account of the person filing this notice. | Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date |
that the plan was adopted or the instruction given, that person makes such | |
representation as of the plan adoption or instruction date. | |
8/22/2019 | /s/_Brian P. LeClaire |
DATE OF NOTICE | (SIGNATURE) |
DATE OF PLAN OR GIVING OF INSTRUCTION, | |
IF RELYING ON RULE 10B5-1 |
This notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
SEC 1147 (02-08)
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Humana Inc. published this content on 22 August 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 22 August 2019 17:17:18 UTC