Heather Cox - 15 Dec 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Dig Health & Analyt Off.
Signature
Heather Cox
Issuer symbol
HUM
Transactions as of
15 Dec 2021
Net transactions value
-$198,195
Form type
4
Filing time
17 Dec 2021, 09:54:19 UTC
Previous filing
03 Nov 2021
Next filing
03 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 +406 +16% $0.000000 3,011 15 Dec 2021 Direct
transaction HUM Humana Common Tax liability $73,576 -160 -5.3% $459.85 2,851 15 Dec 2021 Direct
transaction HUM Humana Common Options Exercise $0 +356 +12% $0.000000 3,207 15 Dec 2021 Direct
transaction HUM Humana Common Tax liability $64,839 -141 -4.4% $459.85 3,066 15 Dec 2021 Direct
transaction HUM Humana Common Options Exercise $0 +328 +11% $0.000000 3,394 15 Dec 2021 Direct
transaction HUM Humana Common Tax liability $59,780 -130 -3.8% $459.85 3,264 15 Dec 2021 Direct
holding HUM Humana Common 380 15 Dec 2021 See Footnote 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 Restricted Stock Units Options Exercise $0 -406 -100% $0.000000* 0 15 Dec 2021 Humana Common 406 Direct F5, F7
transaction HUM Restricted Stock Units Options Exercise $0 -356 -50% $0.000000 357 15 Dec 2021 Humana Common 356 Direct F6, F8
transaction HUM Restricted Stock Units Options Exercise $0 -328 -33% $0.000000 658 15 Dec 2021 Humana Common 328 Direct F6, F9
holding HUM Options 10,155 15 Dec 2021 Humana Common 10,155 $332.68 Direct F1
holding HUM Options 5,388 15 Dec 2021 Humana Common 5,388 $307.96 Direct F2
holding HUM Options 5,372 15 Dec 2021 Humana Common 5,372 $350.79 Direct F3
holding HUM Options 4,057 15 Dec 2021 Humana Common 4,057 $376.61 Direct F4
* 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 2/25/2019, 33% of the award is vesting on 12/15/2019, 12/15/2020 and 12/15/2021.
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 Shares owned by spouse in an Individual Retirement Account.