Heather Cox - Sep 1, 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Dig Health & Analyt Off.
Signature
Heather Cox
Stock symbol
HUM
Transactions as of
Sep 1, 2021
Transactions value $
-$74,161
Form type
4
Date filed
9/3/2021, 08:22 AM
Previous filing
Aug 4, 2021
Next filing
Nov 3, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +752 +36.92% $0.00 2.79K Sep 1, 2021 Direct
transaction HUM Humana Common Tax liability -$74.2K -184 -6.6% $403.05 2.61K Sep 1, 2021 Direct
holding HUM Humana Common 380 Sep 1, 2021 See Footnote F11

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 -752 -100% $0.00* 0 Sep 1, 2021 Humana Common 752 Direct F5, F7
holding HUM Options 10.2K Sep 1, 2021 Humana Common 10.2K $332.68 Direct F1
holding HUM Options 5.39K Sep 1, 2021 Humana Common 5.39K $307.97 Direct F2
holding HUM Options 5.37K Sep 1, 2021 Humana Common 5.37K $350.79 Direct F3
holding HUM Options 4.06K Sep 1, 2021 Humana Common 4.06K $376.61 Direct F4
holding HUM Restricted Stock Units 406 Sep 1, 2021 Humana Common 406 Direct F5, F8
holding HUM Restricted Stock Units 713 Sep 1, 2021 Humana Common 713 Direct F6, F9
holding HUM Restricted Stock Units 986 Sep 1, 2021 Humana Common 986 Direct F6, F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 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.
F4 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.
F5 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).
F6 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).
F7 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.
F8 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.
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 Shares owned by spouse in Individual Retirement Account.