Joseph C. Ventura - 15 Dec 2021 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Legal Officer
Signature
Joseph C. Ventura
Issuer symbol
HUM
Transactions as of
15 Dec 2021
Net transactions value
-$204,633
Form type
4
Filing time
17 Dec 2021, 11:17:20 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 +271 +9.4% $0.000000 3,163 15 Dec 2021 Direct
transaction HUM Humana Common Tax liability $58,401 -127 -4% $459.85 3,036 15 Dec 2021 Direct
transaction HUM Humana Common Options Exercise $0 +309 +10% $0.000000 3,345 15 Dec 2021 Direct
transaction HUM Humana Common Tax liability $66,218 -144 -4.3% $459.85 3,201 15 Dec 2021 Direct
transaction HUM Humana Common Options Exercise $0 +372 +12% $0.000000 3,573 15 Dec 2021 Direct
transaction HUM Humana Common Tax liability $80,014 -174 -4.9% $459.85 3,399 15 Dec 2021 Direct
holding HUM Humana Common 218 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 -271 -100% $0.000000* 0 15 Dec 2021 Humana Common 271 Direct F5, F7
transaction HUM Restricted Stock Units Options Exercise $0 -309 -50% $0.000000 309 15 Dec 2021 Humana Common 309 Direct F6, F8
transaction HUM Restricted Stock Units Options Exercise $0 -372 -33% $0.000000 745 15 Dec 2021 Humana Common 372 Direct F6, F9
holding HUM Options 3,592 15 Dec 2021 Humana Common 3,592 $307.96 Direct F2
holding HUM Options 4,656 15 Dec 2021 Humana Common 4,656 $350.79 Direct F3
holding HUM Options 4,598 15 Dec 2021 Humana Common 4,598 $376.61 Direct F4
* 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 02/25/2019, 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 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21.
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.