Samir M. Deshpande - 03 Nov 2022 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Information Officer
Signature
Samir M. Deshpande
Issuer symbol
HUM
Transactions as of
03 Nov 2022
Net transactions value
-$2,169,103
Form type
4
Filing time
07 Nov 2022, 11:44:51 UTC
Previous filing
04 May 2022
Next filing
19 Dec 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 $299,613 +1,116 +20% $268.47 6,645 03 Nov 2022 Direct
transaction HUM Humana Common Tax liability $299,675 -535 -8.1% $560.14 6,110 03 Nov 2022 Direct F10
transaction HUM Humana Common Options Exercise $99,781 +324 +5.3% $307.96 6,434 03 Nov 2022 Direct
transaction HUM Humana Common Tax liability $100,265 -179 -2.8% $560.14 6,255 03 Nov 2022 Direct F10
transaction HUM Humana Common Options Exercise $778,026 +2,898 +46% $268.47 9,153 03 Nov 2022 Direct
transaction HUM Humana Common Options Exercise $1,559,535 +5,064 +55% $307.96 14,217 03 Nov 2022 Direct
transaction HUM Humana Common Sale $4,506,117 -7,962 -56% $565.95 6,255 03 Nov 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 Options Options Exercise $0 -4,014 -100% $0.000000* 0 03 Nov 2022 Humana Common 4,014 $268.47 Direct F1
transaction HUM Options Options Exercise $0 -5,388 -100% $0.000000* 0 03 Nov 2022 Humana Common 5,388 $307.96 Direct F2
holding HUM Options 5,730 03 Nov 2022 Humana Common 5,730 $350.79 Direct F3
holding HUM Options 4,327 03 Nov 2022 Humana Common 4,327 $376.61 Direct F4
holding HUM Options 3,836 03 Nov 2022 Humana Common 3,836 $425.06 Direct F5
holding HUM Restricted Stock Units 380 03 Nov 2022 Humana Common 380 Direct F6, F7
holding HUM Restricted Stock Units 701 03 Nov 2022 Humana Common 701 Direct F6, F8
holding HUM Restricted Stock Units 1,059 03 Nov 2022 Humana Common 1,059 Direct F6, 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 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 2/19/19 to 2/19/21.
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 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.
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 02/24/2020, 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 Shares reported were swapped for the purchase price of options exercised, using FMV on 11/2/2022. Shares were not sold or disposed of for value in return.
F11 Price reported is weighted average sales price.