William Shrank - May 1, 2022 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Medical Officer
Signature
William H. Shrank
Stock symbol
HUM
Transactions as of
May 1, 2022
Transactions value $
-$1,085,852
Form type
4
Date filed
5/3/2022, 01:45 PM
Previous filing
Feb 23, 2022
Next filing
Aug 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +4.93K +385.45% $0.00 6.2K May 1, 2022 Direct F10
transaction HUM Humana Common Tax liability -$1.01M -2.25K -36.27% $449.81 3.95K May 1, 2022 Direct F11
transaction HUM Humana Common Options Exercise $0 +504 +12.75% $0.00 4.46K May 1, 2022 Direct
transaction HUM Humana Common Tax liability -$73.8K -164 -3.68% $449.81 4.29K May 1, 2022 Direct F11

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 -504 -100% $0.00* 0 May 1, 2022 Humana Common 504 Direct F5, F6
holding HUM Options 6.84K May 1, 2022 Humana Common 6.84K $248.01 Direct F1
holding HUM Options 5.37K May 1, 2022 Humana Common 5.37K $350.79 Direct F2
holding HUM Options 4.06K May 1, 2022 Humana Common 4.06K $376.61 Direct F3
holding HUM Options 3.17K May 1, 2022 Humana Common 3.17K $425.06 Direct F4
holding HUM Restricted Stock Units 357 May 1, 2022 Humana Common 357 Direct F5, F7
holding HUM Restricted Stock Units 658 May 1, 2022 Humana Common 658 Direct F5, F8
holding HUM Restricted Stock Units 873 May 1, 2022 Humana Common 873 Direct F5, F9
* 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 5/1/19, vesting in three increments from 5/1/20 to 5/1/22.
F2 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.
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 02/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
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 02/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.
F5 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).
F6 Restricted stock units granted to reporting person on 5/1/19, 33% of the award is vesting on 5/1/20, 5/1/21, and 5/1/22.
F7 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.
F8 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.
F9 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.
F10 Includes Performance Stock Units, not required to be reported until vest.
F11 Shares disposed of represent withholding of taxes on restricted/performance stock unit vesting.