| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HUM | Humana Common | Options Exercise | $2.11M | +6.86K | +269.87% | $307.97 | 9.4K | Nov 3, 2022 | Direct | |
| transaction | HUM | Humana Common | Options Exercise | $1.51M | +4.3K | +45.7% | $350.79 | 13.7K | Nov 3, 2022 | Direct | |
| transaction | HUM | Humana Common | Sale | -$6.31M | -11.2K | -81.44% | $565.61 | 2.54K | Nov 3, 2022 | Direct | F14 |
| transaction | HUM | Humana Common | Gift | $0 | -900 | -35.41% | $0.00 | 1.64K | Nov 3, 2022 | Direct | F13 |
| holding | HUM | Humana Common | 2.39K | Nov 3, 2022 | See Footnote | F2, F12 | |||||
| holding | HUM | Humana Common | 119 | Nov 3, 2022 | See Footnote | F1 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HUM | Options | Options Exercise | $0 | -6.86K | -95.49% | $0.00 | 324 | Nov 3, 2022 | Humana Common | 6.86K | $307.97 | Direct | F3 |
| transaction | HUM | Options | Options Exercise | $0 | -4.3K | -66.66% | $0.00 | 2.15K | Nov 3, 2022 | Humana Common | 4.3K | $350.79 | Direct | F4 |
| holding | HUM | Options | 4.81K | Nov 3, 2022 | Humana Common | 4.81K | $376.61 | Direct | F5 | |||||
| holding | HUM | Options | 3.75K | Nov 3, 2022 | Humana Common | 3.75K | $425.06 | Direct | F6 | |||||
| holding | HUM | Restricted Stock Units | 428 | Nov 3, 2022 | Humana Common | 428 | Direct | F7, F8 | ||||||
| holding | HUM | Restricted Stock Units | 779 | Nov 3, 2022 | Humana Common | 779 | Direct | F7, F9 | ||||||
| holding | HUM | Restricted Stock Units | 1.04K | Nov 3, 2022 | Humana Common | 1.04K | Direct | F7, F10 | ||||||
| holding | HUM | Phantom Stock Units | 24 | Nov 3, 2022 | Humana Common | 24 | See Footnote | F11 |
| 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 | Shares owned in the William K. Fleming Grantor Retained Annuity Trust (est. 7/2/2020). Reporting person is the sole trustee of the GRAT. |
| F3 | 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. |
| 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 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23. |
| 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 2/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24. |
| 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 02/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25. |
| F7 | 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). |
| F8 | 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. |
| F9 | 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. |
| F10 | 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. |
| F11 | 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. |
| F12 | 1,658 shares transferred from Indirect (GRAT) to Direct ownership, effective 9/20/22. |
| F13 | Shares disposed of represent gift/charitable donation, effective November 3, 2022, in which no value was received in return. |
| F14 | Price reported is weighted average sales price. |