Cynthia H. Zipperle - Dec 15, 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role: SVP, Chief Acct Officer & Cont
Signature: Cynthia H. Zipperle
Stock symbol: HUM
Transactions as of: Dec 15, 2021
Transactions value $: -$153,590
Form type: 4
Date filed: 12/17/2021, 10:30 AM
Next filing: Mar 1, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	HUM	Humana Common	Options Exercise	$0	+271	+6.09%	$0.00	4.72K	Dec 15, 2021	Direct
transaction	HUM	Humana Common	Tax liability	-$58.4K	-127	-2.69%	$459.85	4.59K	Dec 15, 2021	Direct
transaction	HUM	Humana Common	Options Exercise	$0	+238	+5.18%	$0.00	4.83K	Dec 15, 2021	Direct
transaction	HUM	Humana Common	Tax liability	-$51K	-111	-2.3%	$459.85	4.72K	Dec 15, 2021	Direct
transaction	HUM	Humana Common	Options Exercise	$0	+205	+4.35%	$0.00	4.92K	Dec 15, 2021	Direct
transaction	HUM	Humana Common	Tax liability	-$44.1K	-96	-1.95%	$459.85	4.83K	Dec 15, 2021	Direct
holding	HUM	Humana Common						905	Dec 15, 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	-271	-100%	$0.00^*	0	Dec 15, 2021	Humana Common	271		Direct	F2, F4
transaction	HUM	Restricted Stock Units	Options Exercise	$0	-238	-50%	$0.00	238	Dec 15, 2021	Humana Common	238		Direct	F3, F5
transaction	HUM	Restricted Stock Units	Options Exercise	$0	-205	-33.33%	$0.00	410	Dec 15, 2021	Humana Common	205		Direct	F3, F6
holding	HUM	Phantom Stock Units						292	Dec 15, 2021	Humana Common	292		See Footnote	F7

* 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, 2021under 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	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).
F3	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).
F4	Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/21.
F5	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.
F6	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.
F7	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.