Susan M. Diamond - 01 Jul 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Financial Officer
Signature
Susan M. Diamond
Issuer symbol
HUM
Transactions as of
01 Jul 2021
Net transactions value
-$40,940
Form type
4
Filing time
06 Jul 2021, 12:03:25 UTC
Next filing
03 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +291 +13% $0.000000 2,477 01 Jul 2021 Direct
transaction HUM Humana Common Tax liability $40,940 -92 -3.7% $445.00 2,385 01 Jul 2021 Direct
holding HUM Humana Common 2,131 01 Jul 2021 See Footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HUM Restricted Stock Units Options Exercise $0 -291 -50% $0.000000 291 01 Jul 2021 Humana Common 291 Direct F5, F8
holding HUM Options 4,298 01 Jul 2021 Humana Common 4,298 $350.79 Direct F2
holding HUM Options 4,524 01 Jul 2021 Humana Common 4,524 $376.61 Direct F3
holding HUM Restricted Stock Units 282 01 Jul 2021 Humana Common 282 Direct F4, F6
holding HUM Restricted Stock Units 1,023 01 Jul 2021 Humana Common 1,023 Direct F5, F7
holding HUM Restricted Stock Units 570 01 Jul 2021 Humana Common 570 Direct F5, F9
holding HUM Restricted Stock Units 1,099 01 Jul 2021 Humana Common 1,099 Direct F5, F10
holding HUM Phantom Stock Units 318 01 Jul 2021 Humana Common 318 See Footnote. F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares held for the benefit of the reporting person as of June 30, 2021 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).
F2 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.
F3 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
F4 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).
F5 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).
F6 Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/21.
F7 Restricted stock units granted to reporting person on 06/01/19, 100% of the award is vesting on 6/1/22.
F8 Restricted stock units granted to reporting person on 07/01/19, 33% of the award is vesting on 07/01/20, 07/01/21, and 07/01/22.
F9 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.
F10 Restricted stock units granted to reporting person on 02/22/2021, 33% of the award is vesting on 12/15/21, 12/15/22, and 12/15/23.
F11 Phantom Stock Units held for the benefit of reporting person as of June 30, 2021 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.