Timothy Alan Wheatley - Mar 22, 2022 Form 4 Insider Report for HUMANA INC (HUM)

Role: Segment President, Retail
Signature: Timothy A. Wheatley
Stock symbol: HUM
Transactions as of: Mar 22, 2022
Transactions value $: $4,384
Form type: 4
Date filed: 3/24/2022, 10:33 AM
Previous filing: Mar 1, 2022
Next filing: Nov 7, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	HUM	Humana Common						10.1K	Mar 22, 2022	Direct
holding	HUM	Humana Common						994	Mar 22, 2022	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	Phantom Stock Units	Other	$4.38K	+10	+6.62%	$438.43	161	Mar 22, 2022	Humana Common	10		See Footnote	F12
holding	HUM	Options						459	Mar 22, 2022	Humana Common	459	$217.42	Direct	F2
holding	HUM	Options						372	Mar 22, 2022	Humana Common	372	$268.47	Direct	F3
holding	HUM	Options						7.9K	Mar 22, 2022	Humana Common	7.9K	$307.97	Direct	F4
holding	HUM	Options						8.6K	Mar 22, 2022	Humana Common	8.6K	$350.79	Direct	F5
holding	HUM	Options						6.79K	Mar 22, 2022	Humana Common	6.79K	$376.61	Direct	F6
holding	HUM	Options						5.37K	Mar 22, 2022	Humana Common	5.37K	$425.06	Direct	F7
holding	HUM	Restricted Stock Units						570	Mar 22, 2022	Humana Common	570		Direct	F8, F9
holding	HUM	Restricted Stock Units						1.1K	Mar 22, 2022	Humana Common	1.1K		Direct	F8, F10
holding	HUM	Restricted Stock Units						1.48K	Mar 22, 2022	Humana Common	1.48K		Direct	F8, F11

* 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 February 28, 2022 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 buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.
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 02/24/2020, 33% of the award is vesting on 12/15/20, 12/15/21, and 12/15/22.
F10	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.
F11	Restricted stock units granted to reporting person on 02/21/2022, 33% of the award is vesting on 12/15/22, 12/15/23, and 12/15/24.
F12	Phantom Stock Units held for the benefit of reporting person as of March 22, 2022 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.