Timothy Alan Wheatley - Dec 15, 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role
Segment President, Retail
Signature
Timothy A. Wheatley
Stock symbol
HUM
Transactions as of
Dec 15, 2021
Transactions value $
-$367,880
Form type
4
Date filed
12/17/2021, 11:15 AM
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 +596 +10.36% $0.00 6.35K Dec 15, 2021 Direct
transaction HUM Humana Common Tax liability -$128K -278 -4.38% $459.85 6.07K Dec 15, 2021 Direct
transaction HUM Humana Common Options Exercise $0 +570 +9.39% $0.00 6.64K Dec 15, 2021 Direct
transaction HUM Humana Common Tax liability -$122K -266 -4.01% $459.85 6.37K Dec 15, 2021 Direct
transaction HUM Humana Common Options Exercise $0 +549 +8.61% $0.00 6.92K Dec 15, 2021 Direct
transaction HUM Humana Common Tax liability -$118K -256 -3.7% $459.85 6.67K Dec 15, 2021 Direct
holding HUM Humana Common 973 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 -596 -100% $0.00* 0 Dec 15, 2021 Humana Common 596 Direct F7, F9
transaction HUM Restricted Stock Units Options Exercise $0 -570 -50% $0.00 570 Dec 15, 2021 Humana Common 570 Direct F8, F10
transaction HUM Restricted Stock Units Options Exercise $0 -549 -33.29% $0.00 1.1K Dec 15, 2021 Humana Common 549 Direct F8, F11
holding HUM Options 459 Dec 15, 2021 Humana Common 459 $217.42 Direct F2
holding HUM Options 372 Dec 15, 2021 Humana Common 372 $268.47 Direct F3
holding HUM Options 7.9K Dec 15, 2021 Humana Common 7.9K $307.97 Direct F4
holding HUM Options 8.6K Dec 15, 2021 Humana Common 8.6K $350.79 Direct F5
holding HUM Options 6.79K Dec 15, 2021 Humana Common 6.79K $376.61 Direct F6
holding HUM Phantom Stock Units 151 Dec 15, 2021 Humana Common 151 See Footnote F12
* 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 Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 12,998 options vesting in three annual increments, and 7,499 options fully vest three years from the date of grant.
F3 Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 02/19/2019 to 02/19/2021.
F4 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.
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 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23.
F6 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.
F7 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).
F8 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).
F9 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.
F10 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.
F11 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.
F12 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.