Bruce D. Broussard - Nov 5, 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role: President & CEO, Director
Signature: Bruce D. Broussard
Stock symbol: HUM
Transactions as of: Nov 5, 2021
Transactions value $: -$10,590,026
Form type: 4
Date filed: 11/9/2021, 09:21 AM
Previous filing: Jul 6, 2021
Next filing: Dec 17, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HUM	Humana Common	Options Exercise	$3.85M	+14.3K	+22.07%	$268.47	79.4K	Nov 5, 2021	Direct
transaction	HUM	Humana Common	Options Exercise	$8.3M	+26.9K	+33.94%	$307.97	106K	Nov 5, 2021	Direct
transaction	HUM	Humana Common	Sale	-$18.7M	-41.3K	-38.84%	$454.13	65K	Nov 5, 2021	Direct	F10
transaction	HUM	Humana Common	Sale	-$3.99M	-8.72K	-13.41%	$457.40	56.3K	Nov 5, 2021	Direct	F10

Showing 1 to 4 of 4 entries

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	Options	Options Exercise	$0	-14.3K	-97.47%	$0.00	372	Nov 5, 2021	Humana Common	14.7K	$268.47	Direct	F1
transaction	HUM	Options	Options Exercise	$0	-26.9K	-66.67%	$0.00	13.5K	Nov 5, 2021	Humana Common	40.4K	$307.97	Direct	F2
holding	HUM	Options						40.3K	Nov 5, 2021	Humana Common	40.3K	$350.79	Direct	F3
holding	HUM	Options						30.4K	Nov 5, 2021	Humana Common	30.4K	$376.61	Direct	F4
holding	HUM	Restricted Stock Units						3.05K	Nov 5, 2021	Humana Common	3.05K		Direct	F5, F7
holding	HUM	Restricted Stock Units						5.35K	Nov 5, 2021	Humana Common	5.35K		Direct	F6, F8
holding	HUM	Restricted Stock Units						7.39K	Nov 5, 2021	Humana Common	7.39K		Direct	F6, F9

* 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 and Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three annual increments.
F2	Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three annual increments.
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.
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.
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 02/25/2019, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/21.
F8	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.
F9	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.
F10	Reported price is weighted average sales price.