Bruce D. Broussard - 05 Nov 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role
President & CEO, Director
Signature
Bruce D. Broussard
Issuer symbol
HUM
Transactions as of
05 Nov 2021
Net transactions value
-$10,590,026
Form type
4
Filing time
09 Nov 2021, 09:21:05 UTC
Previous filing
06 Jul 2021
Next filing
17 Dec 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 $3,851,471 +14,346 +22% $268.47 79,361 05 Nov 2021 Direct
transaction HUM Humana Common Options Exercise $8,296,269 +26,939 +34% $307.96 106,300 05 Nov 2021 Direct
transaction HUM Humana Common Sale $18,748,753 -41,285 -39% $454.13 65,015 05 Nov 2021 Direct F10
transaction HUM Humana Common Sale $3,989,013 -8,721 -13% $457.40 56,294 05 Nov 2021 Direct F10

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 -14,346 -97% $0.000000 372 05 Nov 2021 Humana Common 14,718 $268.47 Direct F1
transaction HUM Options Options Exercise $0 -26,939 -67% $0.000000 13,470 05 Nov 2021 Humana Common 40,409 $307.96 Direct F2
holding HUM Options 40,290 05 Nov 2021 Humana Common 40,290 $350.79 Direct F3
holding HUM Options 30,425 05 Nov 2021 Humana Common 30,425 $376.61 Direct F4
holding HUM Restricted Stock Units 3,045 05 Nov 2021 Humana Common 3,045 Direct F5, F7
holding HUM Restricted Stock Units 5,346 05 Nov 2021 Humana Common 5,346 Direct F6, F8
holding HUM Restricted Stock Units 7,393 05 Nov 2021 Humana Common 7,393 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.