Susan D. Schick - Dec 15, 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role
Seg Pres. Grp. & Military Bus.
Signature
Susan D. Schick
Stock symbol
HUM
Transactions as of
Dec 15, 2021
Transactions value $
-$350,866
Form type
4
Date filed
12/17/2021, 10:29 AM
Previous filing
Sep 1, 2021
Next filing
Feb 23, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +238 +39.34% $0.00 843 Dec 15, 2021 Direct
transaction HUM Humana Common Tax liability -$34K -74 -8.78% $459.85 769 Dec 15, 2021 Direct
transaction HUM Humana Common Options Exercise $0 +1.6K +208.45% $0.00 2.37K Dec 15, 2021 Direct
transaction HUM Humana Common Tax liability -$277K -602 -25.38% $459.85 1.77K Dec 15, 2021 Direct
transaction HUM Humana Common Options Exercise $0 +189 +10.68% $0.00 1.96K Dec 15, 2021 Direct
transaction HUM Humana Common Tax liability -$40K -87 -4.44% $459.85 1.87K Dec 15, 2021 Direct

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 -238 -50% $0.00 238 Dec 15, 2021 Humana Common 238 Direct F2, F3
transaction HUM Restricted Stock Units Options Exercise $0 -1.6K -50% $0.00 1.6K Dec 15, 2021 Humana Common 1.6K Direct F2, F4
transaction HUM Restricted Stock Units Options Exercise $0 -189 -33.27% $0.00 379 Dec 15, 2021 Humana Common 189 Direct F2, F5
holding HUM Options 1.77K Dec 15, 2021 Humana Common 1.77K $403.05 Direct F1
holding HUM Restricted Stock Units 434 Dec 15, 2021 Humana Common 434 Direct F2, F6
* 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 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 9/1/2021, vesting in three annual increments from 9/1/22 to 9/1/24.
F2 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).
F3 Restricted stock units granted to reporting person on 2/24/2020, 33% of the award is vesting on 12/15/20, 12/15/21, and 12/15/22. Unvested restricted stock units were inadvertently omitted from Table II in Form 3 and Form 4 filed on 9/1/21. Table II is current and updated moving forward.
F4 Restricted stock units granted to reporting person on 3/1/2020, 33% of the award is vesting on 12/15/20, 12/15/21, and 12/15/22. Unvested restricted stock units were inadvertently omitted from Table II in Form 3 and Form 4 filed on 9/1/21. Table II is current and updated moving forward.
F5 Restricted stock units granted to reporting person on 2/22/2021, 33% of the award is vesting on 12/15/21, 12/15/22, and 12/15/23. Unvested restricted stock units were inadvertently omitted from Table II in Form 3 and Form 4 filed on 9/1/21. Table II is current and updated moving forward.
F6 Restricted stock units granted to reporting person on 9/1/2021, 33% of the award is vesting on 9/1/22, 9/1/23, and 9/1/24.