Susan M. Diamond - Jun 1, 2022 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Financial Officer
Signature
Susan M. Diamond
Stock symbol
HUM
Transactions as of
Jun 1, 2022
Transactions value $
-$215,163
Form type
4
Date filed
6/3/2022, 11:01 AM
Previous filing
Mar 1, 2022
Next filing
Jul 6, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +1.02K +31.77% $0.00 4.24K Jun 1, 2022 Direct F14
transaction HUM Humana Common Tax liability -$215K -477 -11.24% $451.08 3.77K Jun 1, 2022 Direct F15
holding HUM Humana Common 2.14K Jun 1, 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 Restricted Stock Units Options Exercise $0 -1.02K -100% $0.00* 0 Jun 1, 2022 Humana Common 1.02K Direct F6, F7
holding HUM Options 4.3K Jun 1, 2022 Humana Common 4.3K $350.79 Direct F2
holding HUM Options 4.52K Jun 1, 2022 Humana Common 4.52K $376.61 Direct F3
holding HUM Options 3.79K Jun 1, 2022 Humana Common 3.79K $428.68 Direct F4
holding HUM Options 5.56K Jun 1, 2022 Humana Common 5.56K $425.06 Direct F5
holding HUM Restricted Stock Units 291 Jun 1, 2022 Humana Common 291 Direct F6, F8
holding HUM Restricted Stock Units 285 Jun 1, 2022 Humana Common 285 Direct F6, F9
holding HUM Restricted Stock Units 733 Jun 1, 2022 Humana Common 733 Direct F6, F10
holding HUM Restricted Stock Units 933 Jun 1, 2022 Humana Common 933 Direct F6, F11
holding HUM Restricted Stock Units 1.54K Jun 1, 2022 Humana Common 1.54K Direct F6, F12
holding HUM Phantom Stock Units 320 Jun 1, 2022 Humana Common 320 See Footnote. F13
* 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 the reporting person as of May 31, 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 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 8/1/2021, vesting in three annual increments from 8/1/22 to 8/1/24.
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 2/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.
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 06/01/19, 100% of the award is vesting on 6/1/22.
F8 Restricted stock units granted to reporting person on 07/01/19, 33% of the award is vesting on 07/01/20, 07/01/21, and 07/01/22.
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 08/1/2021, 33% of the award is vesting on 8/1/22, 8/1/23, and 8/1/24.
F12 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.
F13 Phantom Stock Units held for the benefit of reporting person as of May 31, 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.
F14 Reporting person transferred a total of 600 shares of direct ownership on May 2, 2022 pursuant to a Domestic Relations Order. Reporting person was afforded a filing exemption under Rule 16a-12, which extends to securities transferred under a DRO.
F15 Shares disposed of represent taxes withheld on the vesting.