Bisignano Frank

SEC source: 0001209191-19-043742 · doc4.xml · derivative · entry 11

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,669

Underlying: Common Stock · 223,669 shares

Expires 2025-10-15

F13 · price: Pursuant to the Merger Agreement and immediately after the Effective Time, each First Data stock option was converted into a stock option to purchase a number of shares of the Issuer's common stock equal to the product (rounded down to the nearest whole number) of (a) the number of shares of First Data common stock subject to such option and (b) the Exchange Ratio, at an exercise price per share (rounded up to the nearest whole cent) equal to (i) the exercise price per share of such First Data stock option divided by (ii) the Exchange Ratio. As converted, the stock options will generally continue to be governed by the same terms and conditions as were applicable prior to the Effective Time, except that certain of the stock options will be eligible to vest upon satisfaction of an adjusted performance condition.

F14 · derivative.exercise_date: These stock options will become vested and exercisable upon satisfaction of an adjusted performance condition based on a target price per share of the Issuer's common stock equal to $32.00 divided by the Exchange Ratio, in accordance with the Merger Agreement.

SEC source: 0001209191-19-043742 · doc4.xml · derivative · entry 10

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,278

Underlying: Common Stock · 109,278 shares

Expires 2025-01-28

F13 · price: Pursuant to the Merger Agreement and immediately after the Effective Time, each First Data stock option was converted into a stock option to purchase a number of shares of the Issuer's common stock equal to the product (rounded down to the nearest whole number) of (a) the number of shares of First Data common stock subject to such option and (b) the Exchange Ratio, at an exercise price per share (rounded up to the nearest whole cent) equal to (i) the exercise price per share of such First Data stock option divided by (ii) the Exchange Ratio. As converted, the stock options will generally continue to be governed by the same terms and conditions as were applicable prior to the Effective Time, except that certain of the stock options will be eligible to vest upon satisfaction of an adjusted performance condition.

F12 · derivative.exercise_date: These stock options are fully vested and exercisable.

SEC source: 0001209191-19-043742 · doc4.xml · derivative · entry 9

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,893

Underlying: Common Stock · 71,893 shares

Expires 2024-02-10

F13 · price: Pursuant to the Merger Agreement and immediately after the Effective Time, each First Data stock option was converted into a stock option to purchase a number of shares of the Issuer's common stock equal to the product (rounded down to the nearest whole number) of (a) the number of shares of First Data common stock subject to such option and (b) the Exchange Ratio, at an exercise price per share (rounded up to the nearest whole cent) equal to (i) the exercise price per share of such First Data stock option divided by (ii) the Exchange Ratio. As converted, the stock options will generally continue to be governed by the same terms and conditions as were applicable prior to the Effective Time, except that certain of the stock options will be eligible to vest upon satisfaction of an adjusted performance condition.

F12 · derivative.exercise_date: These stock options are fully vested and exercisable.

SEC source: 0001209191-19-043742 · doc4.xml · derivative · entry 8

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,519,708

Underlying: Common Stock · 2,519,708 shares

Expires 2023-05-07

F13 · price: Pursuant to the Merger Agreement and immediately after the Effective Time, each First Data stock option was converted into a stock option to purchase a number of shares of the Issuer's common stock equal to the product (rounded down to the nearest whole number) of (a) the number of shares of First Data common stock subject to such option and (b) the Exchange Ratio, at an exercise price per share (rounded up to the nearest whole cent) equal to (i) the exercise price per share of such First Data stock option divided by (ii) the Exchange Ratio. As converted, the stock options will generally continue to be governed by the same terms and conditions as were applicable prior to the Effective Time, except that certain of the stock options will be eligible to vest upon satisfaction of an adjusted performance condition.

F12 · derivative.exercise_date: These stock options are fully vested and exercisable.

SEC source: 0001209191-19-043742 · doc4.xml · nonDerivative · entry 7

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,602

F1 · shares: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F1 · price: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F11 · ownership.nature: These shares are held in accounts for the benefit of the Reporting Person's children.

SEC source: 0001209191-19-043742 · doc4.xml · nonDerivative · entry 6

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 7,817

F1 · shares: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F1 · price: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

SEC source: 0001209191-19-043742 · doc4.xml · nonDerivative · entry 5

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 575

F1 · shares: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F1 · price: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F10 · ownership.nature: Held by a revocable trust.

SEC source: 0001209191-19-043742 · doc4.xml · nonDerivative · entry 4

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 83,160

F1 · shares: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F1 · price: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F9 · ownership.nature: Held by the Frank J. Bisignano 2017 Grantor Retained Annuity Trust.

SEC source: 0001209191-19-043742 · doc4.xml · nonDerivative · entry 3

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 31,838

F1 · shares: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F1 · price: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F8 · ownership.nature: Held by the Frank J. Bisignano 2016 Grantor Retained Annuity Trust.

SEC source: 0001209191-19-043742 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,870,488

F7 · shares: These restricted stock units were granted to the Reporting Person pursuant to his employment agreement, dated January 16, 2019, with the Issuer. One-third of these restricted stock units vest on each anniversary of the grant date.

SEC source: 0001209191-19-043742 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,727,139

F1 · shares: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F2 · shares: Consists of (i) 979,758 shares of the Issuer's common stock acquired upon the completion of the Merger, (ii) 95,858 shares of the Issuer's restricted stock subject to time-based vesting, which were converted in the Merger from awards denominated in shares of First Data common stock based on the Exchange Ratio (rounded to the nearest whole number), (iii) 343,665 restricted stock units of the Issuer subject to time-based vesting and 1,212,000 restricted stock units of the Issuer subject to time-based vesting with an accelerated vesting performance condition, all of which were converted in the Merger from units denominated in shares of First Data common stock based on the Exchange Ratio (rounded to the nearest whole number), and (iv) 95,858 shares of the Issuer's restricted stock subject to performance-vesting, which were converted in the Merger from awards denominated in shares of First Data common stock based on the Exchange Ratio (rounded to the nearest whole number).

F3 · shares: As converted and as applicable, restricted stock units and shares of restricted stock will generally continue to be governed by the same terms and conditions as were applicable at the Effective Time, except that the shares of restricted stock subject to performance-vesting will be eligible to vest upon satisfaction of an adjusted performance condition based on a target price per share of the Issuer's common stock equal to $32.00 divided by the Exchange Ratio, in each case, in accordance with the Merger Agreement.

F4 · shares: Of the 95,858 shares of restricted stock subject to time-based vesting, half will vest on each of December 31, 2019 and 2020.

F5 · shares: The 343,665 restricted stock units subject to time-based vesting will vest as follows: 105,158 on February 15, 2020; 56,697 on February 20, 2020; 130,709 on February 15, 2021; and 51,101 on February 15, 2022.

F6 · shares: The 1,212,000 unvested restricted stock units subject to time-based vesting with an accelerated vesting performance condition are part of an original award amount of 1,515,000 restricted stock units on an as converted basis (the "original award amount"). Twenty percent of the original award amount: (i) vested on August 15, 2018 and (ii) will vest on August 15, 2019. The remaining unvested restricted stock units will vest in an amount equal to 14.2857% of the original award amount on August 15, 2020 and on each subsequent 15th day of August (each, a "vesting period") with any remaining shares vesting on August 15, 2024; provided that, if for 10 consecutive trading days during a vesting period, the closing price of the Issuer's common stock has met or exceeded a share price corresponding to a 15% cumulative annual increase over the quotient of $17.89 divided by the Exchange Ratio, then the annual vesting percentage on that vesting date will increase to 20%.

F1 · price: Reflects shares of common stock, par value $0.01, of Fiserv, Inc. (the "Issuer") acquired on July 29, 2019, upon the completion of the merger (the "Merger") of 300 Holdings, Inc., a wholly owned subsidiary of the Issuer, with and into First Data Corporation ("First Data"), pursuant to the Agreement and Plan of Merger, dated as of January 16, 2019 (the "Merger Agreement"). At the effective time of the Merger (the "Effective Time"), each share of First Data Class A common stock and First Data Class B common stock (the "First Data common stock") issued and outstanding immediately prior to the Effective Time (other than certain shares) was converted into the right to receive 0.303 of a share (the "Exchange Ratio") of the Issuer's common stock, with cash payable in lieu of any fractional share of the Issuer's common stock.

F2 · price: Consists of (i) 979,758 shares of the Issuer's common stock acquired upon the completion of the Merger, (ii) 95,858 shares of the Issuer's restricted stock subject to time-based vesting, which were converted in the Merger from awards denominated in shares of First Data common stock based on the Exchange Ratio (rounded to the nearest whole number), (iii) 343,665 restricted stock units of the Issuer subject to time-based vesting and 1,212,000 restricted stock units of the Issuer subject to time-based vesting with an accelerated vesting performance condition, all of which were converted in the Merger from units denominated in shares of First Data common stock based on the Exchange Ratio (rounded to the nearest whole number), and (iv) 95,858 shares of the Issuer's restricted stock subject to performance-vesting, which were converted in the Merger from awards denominated in shares of First Data common stock based on the Exchange Ratio (rounded to the nearest whole number).

SEC source: 0001209191-19-035772 · doc4.xml · derivative · entry 8

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,693,539

Underlying: Class A Common Stock · 12,084 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.exercise_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.expiration_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

SEC source: 0001209191-19-035772 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,306,930

F2 · kind: Represents charitable donation of shares of Class A common stock by the reporting person.

SEC source: 0001209191-19-035772 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,319,014

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.

SEC source: 0001209191-19-026421 · doc4.xml · derivative · entry 8

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,705,623

Underlying: Class A Common Stock · 12,935 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.exercise_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.expiration_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

SEC source: 0001209191-19-026421 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,306,930

F2 · kind: Represents charitable donation of shares of Class A common stock by the reporting person.

SEC source: 0001209191-19-026421 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,319,865

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.

SEC source: 0001209191-19-021630 · doc4.xml · derivative · entry 8

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,718,558

Underlying: Class A Common Stock · 15,924 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.exercise_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.expiration_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

SEC source: 0001209191-19-021630 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,306,930

F2 · kind: Represents charitable donation of shares of Class A common stock by the reporting person.

SEC source: 0001209191-19-021630 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,311,235

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.

SEC source: 0001209191-19-019498 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,295,311

F1 · kind: Represents charitable donation of shares of Class A common stock by the reporting person.

SEC source: 0001209191-19-018430 · doc4.xml · derivative · entry 8

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,734,482

Underlying: Class A Common Stock · 3,298 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.exercise_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.expiration_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

SEC source: 0001209191-19-018430 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,306,930

F2 · kind: Represents charitable donations of shares of Class A common stock by the reporting person.

SEC source: 0001209191-19-018430 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,310,228

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.

SEC source: 0001209191-19-014691 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,306,930

F1 · kind: Represents a grant of restricted shares of Class A common stock which, subject to the reporting person's continued employment through each applicable vesting date, will vest 20% on February 15, 2020, 40% on February 15, 2021, and 40% on February 15, 2022.

SEC source: 0001209191-19-013635 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,885,304

F1 · kind: Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.

SEC source: 0001209191-19-012608 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,014,201

F1 · kind: Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.

F2 · balance_after: Reflects 100,167 shares distributed from the Frank J. Bisignano 2016 Grantor Retained Annunity Trust on February 22, 2019 and 122,900 shares distributed from the Frank J. Bisignano 2017 Grantor Retained Annuity Trust on February 22, 2019.

SEC source: 0001209191-19-011702 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,882,364

F1 · kind: Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.

SEC source: 0000049071-19-000007 · edgar.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,871

F1 · balance_after: 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).

F2 · balance_after: Includes 588 restricted stock units pursuant to the annual Director's Fee Program representing a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3) under the Company's 2011 Plan of which 100% is vesting on 12/31/19.

SEC source: 0001209191-19-001208 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,941,085

F1 · kind: Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.

SEC source: 0001209191-18-061979 · doc4.xml · derivative · entry 8

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,737,780

Underlying: Class A Common Stock · 14,497 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.exercise_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.expiration_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

SEC source: 0001209191-18-061979 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,018,230

F2 · kind: Represents charitable donations of shares of Class A common stock by the reporting person.

SEC source: 0001209191-18-061979 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,032,727

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.

SEC source: 0001209191-18-051850 · doc4.xml · derivative · entry 8

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,752,277

Underlying: Class A Common Stock · 33,023 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.exercise_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.expiration_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

SEC source: 0001209191-18-051850 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,018,230

F2 · kind: Represents charitable donations of shares of Class A common stock by the reporting person.

SEC source: 0001209191-18-051850 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,051,253

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.

SEC source: 0001209191-18-047931 · doc4.xml · derivative · entry 8

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,785,300

Underlying: Class A Common Stock · 25,522 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.exercise_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.expiration_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

SEC source: 0001209191-18-047931 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,018,230

F2 · kind: Represents charitable donations of shares of Class A common stock by the reporting person.

SEC source: 0001209191-18-047931 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,043,752

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.

SEC source: 0000049071-18-000113 · edgar.xml · derivative · entry 2

Bisignano Frank · CIK 0001346629 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Humana Common · 625 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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).

F1 · derivative.exercise_price: 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).

F2 · derivative.exercise_date: Initial award of $155,000 worth of restricted stock units pursuant to the annual Director's Fee Program. 100% of the award will vest on 8/17/2018 and forfeited in its entirety if service is less than one year.

F2 · derivative.expiration_date: Initial award of $155,000 worth of restricted stock units pursuant to the annual Director's Fee Program. 100% of the award will vest on 8/17/2018 and forfeited in its entirety if service is less than one year.

SEC source: 0000049071-18-000113 · edgar.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · balance_after: Includes 658 restricted stock units pursuant to the annual Director's Fee Program representing a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3) under the Company's 2011 Plan of which 100% is vesting on 12/31/18.

SEC source: 0001209191-18-047407 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,018,230

F1 · kind: Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.

SEC source: 0001209191-18-032627 · doc4.xml · derivative · entry 8

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,810,822

Underlying: Class A Common Stock · 17,697 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.exercise_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F6 · derivative.expiration_date: Shares of Class B Common Stock are convertible into shares of Class A Common Stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

SEC source: 0001209191-18-032627 · doc4.xml · nonDerivative · entry 2

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,505,926

F2 · kind: Represents charitable donations of shares of Class A common stock by the reporting person.

SEC source: 0001209191-18-032627 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,523,623

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each share of Class A Common Stock was issued upon the conversion of one share of Class B Common Stock.

SEC source: 0001209191-18-014011 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,505,926

F1 · kind: Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.

SEC source: 0001209191-18-012360 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,636,133

F1 · kind: Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.

SEC source: 0001209191-18-011743 · doc4.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,682,213

F1 · kind: Represents a grant of restricted shares of Class A common stock which, subject to the reporting person's continued employment through each applicable vesting date, will vest 20% on February 15, 2019, 40% on February 15, 2020, and 40% on February 15, 2021.

SEC source: 0000049071-18-000008 · edgar.xml · nonDerivative · entry 1

Bisignano Frank · CIK 0001346629 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 658

F3 · balance_after: Includes 658 restricted stock units pursuant to the annual Director's Fee Program representing a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3) under the Company's 2011 Plan of which 100% is vesting on 12/31/18.

SEC source: 0001209191-18-001049 · doc4.xml · derivative · entry 7

Bisignano Frank · CIK 0001346629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,828,519

Underlying: Class A Common Stock · 99,762 shares

Expires not disclosed

F5 · derivative.exercise_price: Shares of Class B common stock are convertible into shares of Class A common stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F1 · kind: Represents shares withheld to pay tax obligations in connection with vesting of restricted stock.

F5 · derivative.exercise_date: Shares of Class B common stock are convertible into shares of Class A common stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.

F5 · derivative.expiration_date: Shares of Class B common stock are convertible into shares of Class A common stock on a one-for-one basis at any time at the option of the holder with the prior written consent of the issuer, automatically upon transfer, with certain exceptions, and upon certain other events.