Timothy Alan Wheatley - Nov 3, 2022 Form 4 Insider Report for HUMANA INC (HUM)

Role
Segment President, Retail
Signature
Timothy A. Wheatley
Stock symbol
HUM
Transactions as of
Nov 3, 2022
Transactions value $
-$7,583,715
Form type
4
Date filed
11/7/2022, 11:47 AM
Previous filing
Mar 24, 2022
Next filing
Dec 19, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $2.33M +7.58K +74.87% $307.97 17.7K Nov 3, 2022 Direct
transaction HUM Humana Common Options Exercise $2.01M +5.73K +32.37% $350.79 23.4K Nov 3, 2022 Direct
transaction HUM Humana Common Options Exercise $852K +2.26K +9.65% $376.61 25.7K Nov 3, 2022 Direct
transaction HUM Humana Common Sale -$8.82M -15.6K -60.6% $566.22 10.1K Nov 3, 2022 Direct F13
transaction HUM Humana Common Sale -$3.96M -7K -69.16% $566.19 3.12K Nov 3, 2022 Direct F13
holding HUM Humana Common 1.03K Nov 3, 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 Options Options Exercise $0 -7.58K -95.9% $0.00 324 Nov 3, 2022 Humana Common 7.58K $307.97 Direct F4
transaction HUM Options Options Exercise $0 -5.73K -66.67% $0.00 2.87K Nov 3, 2022 Humana Common 5.73K $350.79 Direct F5
transaction HUM Options Options Exercise $0 -2.26K -33.33% $0.00 4.52K Nov 3, 2022 Humana Common 2.26K $376.61 Direct F6
holding HUM Options 459 Nov 3, 2022 Humana Common 459 $217.42 Direct F2
holding HUM Options 372 Nov 3, 2022 Humana Common 372 $268.47 Direct F3
holding HUM Options 5.37K Nov 3, 2022 Humana Common 5.37K $425.06 Direct F7
holding HUM Restricted Stock Units 570 Nov 3, 2022 Humana Common 570 Direct F8, F9
holding HUM Restricted Stock Units 1.1K Nov 3, 2022 Humana Common 1.1K Direct F8, F10
holding HUM Restricted Stock Units 1.48K Nov 3, 2022 Humana Common 1.48K Direct F8, F11
holding HUM Phantom Stock Units 161 Nov 3, 2022 Humana Common 161 See Footnote F12
* 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 October 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 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 October 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.
F13 Price reported is weighted average sales price.