William K. Fleming - 15 Dec 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role
Seg Pres, Pharmacy Sol & CCAO
Signature
William K. Fleming
Issuer symbol
HUM
Transactions as of
15 Dec 2021
Net transactions value
-$287,406
Form type
4
Filing time
17 Dec 2021, 09:43:43 UTC
Next filing
23 Feb 2022
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 +542 +67% $0.000000 1,355 15 Dec 2021 Direct
transaction HUM Humana Common Tax liability $114,503 -249 -18% $459.85 1,106 15 Dec 2021 Direct
transaction HUM Humana Common Options Exercise $0 +428 +39% $0.000000 1,534 15 Dec 2021 Direct
transaction HUM Humana Common Tax liability $90,590 -197 -13% $459.85 1,337 15 Dec 2021 Direct
transaction HUM Humana Common Options Exercise $0 +389 +29% $0.000000 1,726 15 Dec 2021 Direct
transaction HUM Humana Common Tax liability $82,313 -179 -10% $459.85 1,547 15 Dec 2021 Direct
holding HUM Humana Common 4,049 15 Dec 2021 See Footnote F2
holding HUM Humana Common 118 15 Dec 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 -542 -100% $0.000000* 0 15 Dec 2021 Humana Common 542 Direct F6, F8
transaction HUM Restricted Stock Units Options Exercise $0 -428 -50% $0.000000 428 15 Dec 2021 Humana Common 428 Direct F7, F9
transaction HUM Restricted Stock Units Options Exercise $0 -389 -33% $0.000000 779 15 Dec 2021 Humana Common 389 Direct F7, F10
holding HUM Options 7,184 15 Dec 2021 Humana Common 7,184 $307.96 Direct F3
holding HUM Options 6,446 15 Dec 2021 Humana Common 6,446 $350.79 Direct F4
holding HUM Options 4,807 15 Dec 2021 Humana Common 4,807 $376.61 Direct F5
holding HUM Phantom Stock Units 24 15 Dec 2021 Humana Common 24 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 reporting person as of November 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 4,049 shares transferred into the William K. Fleming Grantor Retained Annuity Trust (est. 7/2/2020) on September 15, 2021. Reporting person is the sole trustee of the GRAT.
F3 Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
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 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23.
F5 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
F6 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).
F7 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).
F8 Restricted stock units granted to reporting person on 2/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21.
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 November 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.