BRUCE D. BROUSSARD - 03 Nov 2022 Form 4 Insider Report for HUMANA INC (HUM)

Role
President & CEO, Director
Signature
Bruce D. Broussard
Issuer symbol
HUM
Transactions as of
03 Nov 2022
Net transactions value
-$8,670,285
Form type
4
Filing time
07 Nov 2022, 12:56:32 UTC
Previous filing
21 Apr 2022
Next filing
14 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 $99,871 +372 +0.47% $268.47 80,021 03 Nov 2022 Direct
transaction HUM Humana Common Tax liability $100,265 -179 -0.22% $560.14 79,842 03 Nov 2022 Direct F10
transaction HUM Humana Common Options Exercise $99,781 +324 +0.41% $307.96 80,166 03 Nov 2022 Direct
transaction HUM Humana Common Tax liability $100,265 -179 -0.22% $560.14 79,987 03 Nov 2022 Direct F10
transaction HUM Humana Common Options Exercise $4,048,508 +13,146 +16% $307.96 93,133 03 Nov 2022 Direct
transaction HUM Humana Common Tax liability $5,370,062 -9,587 -10% $560.14 83,546 03 Nov 2022 Direct F11
transaction HUM Humana Common Options Exercise $9,422,152 +26,860 +32% $350.79 110,406 03 Nov 2022 Direct
transaction HUM Humana Common Tax liability $11,674,438 -20,842 -19% $560.14 89,564 03 Nov 2022 Direct F11
transaction HUM Humana Common Sale $5,095,566 -9,000 -10% $566.17 80,564 03 Nov 2022 Direct F12
transaction HUM Humana Common Gift $0 -2,981 -3.7% $0.000000 77,583 20 Sep 2022 Direct F13
transaction HUM Humana Common Gift $0 -2,981 -3.8% $0.000000 74,602 20 Sep 2022 Direct F14
transaction HUM Humana Common Gift $0 -2,000 -2.7% $0.000000 72,602 20 Sep 2022 Direct F15

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 -372 -100% $0.000000* 0 03 Nov 2022 Humana Common 372 $268.47 Direct F1
transaction HUM Options Options Exercise $0 -13,470 -100% $0.000000* 0 03 Nov 2022 Humana Common 13,470 $307.96 Direct F2
transaction HUM Options Options Exercise $0 -26,860 -67% $0.000000 13,430 03 Nov 2022 Humana Common 26,860 $350.79 Direct F3
holding HUM Options 30,425 03 Nov 2022 Humana Common 30,425 $376.61 Direct F4
holding HUM Options 23,734 03 Nov 2022 Humana Common 23,734 $425.06 Direct F5
holding HUM Restricted Stock Units 2,673 03 Nov 2022 Humana Common 2,673 Direct F6, F7
holding HUM Restricted Stock Units 4,929 03 Nov 2022 Humana Common 4,929 Direct F6, F8
holding HUM Restricted Stock Units 6,551 03 Nov 2022 Humana Common 6,551 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 annual increments.
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 annual increments.
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.
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.
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.
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 represent shares swapped in for the purchase price of options exercised, using the FMV on 11/2/22.
F11 Shares reported represent shares swapped in for the purchase price and taxes on options exercised, using FMV on 11/2/22 for computing shares swapped for purchase price and FMV on 11/3/22 for computing shares swapped for tax liability.
F12 Price reported is weighted average sales price.
F13 Shares transferred represent a gift to a Trust in the name of affiliate's son, effective September 20, 2022. Affiliate is not a Trustee and has no pecuniary interest or investment discretion.
F14 Shares transferred represent a gift to a Trust in the name of affiliate's daughter, effective September 20, 2022. Affiliate is not a Trustee and has no pecuniary interest or investment discretion.
F15 Shares represent a charitable gift/donation, effective September 20, 2022, in which no value was received in return.