David A. Jr/Ky Jones - Sep 16, 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role: Director
Signature: David A. Jones, Jr.
Stock symbol: HUM
Transactions as of: Sep 16, 2021
Transactions value $: -$1,924,800
Form type: 4
Date filed: 9/20/2021, 09:07 AM
Next filing: Oct 14, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HUM	Humana Common	Sale	-$1.92M	-4.8K	-6.6%	$401.00	67.9K	Sep 16, 2021	See Footnote	F4, F6
holding	HUM	Humana Common						403	Sep 16, 2021	Direct	F5
holding	HUM	Humana Common						800	Sep 16, 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
holding	HUM	Restricted Stock Units						5.89K	Sep 16, 2021	Humana Common	5.89K		Direct	F2
holding	HUM	Restricted Stock Units						95	Sep 16, 2021	Humana Common	95		Direct	F3

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Shares held in two trusts for the benefit of reporting person's son/daughter, respectively, in each case where the reporting person is the sole trustee.
F2	Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
F3	Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).
F4	Shares held by a revocable trust account (Dec 2009), on which reporting person is the sole trustee, holding certain shares of Humana Inc. common stock. Includes 453 shares that vested on 12/31/20 and transferred to trust on 1/4/21.
F5	Includes 403 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 2019 Amended & Restated Plan of which 100% is vesting on 12/31/21.
F6	Shares contributed by the David Jones Jr. Revocable Trust to an exchange fund in return for shares of the exchange fund. The Humana Inc. common stock was valued at $401.00 per share, using close of business price on the day prior to the exchange date, for purposes of determining the number of shares of the exchange fund issued to the Revocable Trust.