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

Role
Chief Financial Officer
Signature
Susan M. Diamond
Issuer symbol
HUM
Transactions as of
03 Nov 2022
Net transactions value
-$1,761,233
Form type
4
Filing time
07 Nov 2022, 13:27:12 UTC
Previous filing
03 Aug 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 $854,869 +2,437 +62% $350.79 6,399 03 Nov 2022 Direct
transaction HUM Humana Common Options Exercise $567,928 +1,508 +24% $376.61 7,907 03 Nov 2022 Direct F12
transaction HUM Humana Common Sale $2,234,305 -3,945 -50% $566.36 3,962 03 Nov 2022 Direct F12
transaction HUM Humana Common Sale $949,726 -1,678 -42% $565.99 2,284 03 Nov 2022 Direct F12
transaction HUM Humana Common Gift $0 -100 -4.4% $0.000000 2,184 04 Nov 2022 Direct F13
holding HUM Humana Common 2,143 03 Nov 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 -2,437 -57% $0.000000 1,861 03 Nov 2022 Humana Common 2,437 $350.79 Direct F2
transaction HUM Options Options Exercise $0 -1,508 -33% $0.000000 3,016 03 Nov 2022 Humana Common 1,508 $376.61 Direct F3
holding HUM Options 3,793 03 Nov 2022 Humana Common 3,793 $428.68 Direct F4
holding HUM Options 5,562 03 Nov 2022 Humana Common 5,562 $425.06 Direct F5
holding HUM Restricted Stock Units 285 03 Nov 2022 Humana Common 285 Direct F6, F7
holding HUM Restricted Stock Units 733 03 Nov 2022 Humana Common 733 Direct F6, F8
holding HUM Restricted Stock Units 622 03 Nov 2022 Humana Common 622 Direct F6, F9
holding HUM Restricted Stock Units 1,535 03 Nov 2022 Humana Common 1,535 Direct F6, F10
holding HUM Phantom Stock Units 320 03 Nov 2022 Humana Common 320 See Footnote. F11
* 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 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 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 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 08/1/2021, 33% of the award is vesting on 8/1/22, 8/1/23, and 8/1/24.
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 Price reported is weighted average sales price.
F13 Shares disposed of represent gift/charitable donation, effective November 4, 2022 in which no value was received in return.