Joseph C. Ventura - Dec 15, 2022 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Legal Officer
Signature
Joseph C. Ventura
Stock symbol
HUM
Transactions as of
Dec 15, 2022
Transactions value $
-$248,380
Form type
4
Date filed
12/19/2022, 11:00 AM
Previous filing
Nov 7, 2022
Next filing
Feb 28, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +309 +8.35% $0.00 4.01K Dec 15, 2022 Direct
transaction HUM Humana Common Tax liability -$73.4K -144 -3.59% $510.02 3.87K Dec 15, 2022 Direct F9
transaction HUM Humana Common Options Exercise $0 +372 +9.62% $0.00 4.24K Dec 15, 2022 Direct
transaction HUM Humana Common Tax liability -$88.7K -174 -4.11% $510.02 4.06K Dec 15, 2022 Direct F9
transaction HUM Humana Common Options Exercise $0 +361 +8.88% $0.00 4.43K Dec 15, 2022 Direct
transaction HUM Humana Common Tax liability -$86.2K -169 -3.82% $510.02 4.26K Dec 15, 2022 Direct F9
holding HUM Humana Common 228 Dec 15, 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 Restricted Stock Units Options Exercise $0 -309 -100% $0.00* 0 Dec 15, 2022 Humana Common 309 Direct F5, F6
transaction HUM Restricted Stock Units Options Exercise $0 -372 -49.93% $0.00 373 Dec 15, 2022 Humana Common 372 Direct F5, F7
transaction HUM Restricted Stock Units Options Exercise $0 -361 -33.27% $0.00 724 Dec 15, 2022 Humana Common 361 Direct F5, F8
holding HUM Options 4.66K Dec 15, 2022 Humana Common 4.66K $350.79 Direct F2
holding HUM Options 4.6K Dec 15, 2022 Humana Common 4.6K $376.61 Direct F3
holding HUM Options 3.93K Dec 15, 2022 Humana Common 3.93K $425.06 Direct F4
* 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 November 30, 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 02/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.
F5 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).
F6 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.
F7 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.
F8 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.
F9 Shares disposed of represent a payment on tax liability for shares vesting on 12/15/22, no value was received in return.