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

Role
Chief Legal Officer
Signature
Joseph C. Ventura
Issuer symbol
HUM
Transactions as of
15 Dec 2022
Net transactions value
-$248,380
Form type
4
Filing time
19 Dec 2022, 11:00:17 UTC
Previous filing
07 Nov 2022
Next filing
28 Feb 2023
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 $0 +309 +8.3% $0.000000 4,010 15 Dec 2022 Direct
transaction HUM Humana Common Tax liability $73,443 -144 -3.6% $510.02 3,866 15 Dec 2022 Direct F9
transaction HUM Humana Common Options Exercise $0 +372 +9.6% $0.000000 4,238 15 Dec 2022 Direct
transaction HUM Humana Common Tax liability $88,743 -174 -4.1% $510.02 4,064 15 Dec 2022 Direct F9
transaction HUM Humana Common Options Exercise $0 +361 +8.9% $0.000000 4,425 15 Dec 2022 Direct
transaction HUM Humana Common Tax liability $86,193 -169 -3.8% $510.02 4,256 15 Dec 2022 Direct F9
holding HUM Humana Common 228 15 Dec 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% $0.000000* 0 15 Dec 2022 Humana Common 309 Direct F5, F6
transaction HUM Restricted Stock Units Options Exercise $0 -372 -50% $0.000000 373 15 Dec 2022 Humana Common 372 Direct F5, F7
transaction HUM Restricted Stock Units Options Exercise $0 -361 -33% $0.000000 724 15 Dec 2022 Humana Common 361 Direct F5, F8
holding HUM Options 4,656 15 Dec 2022 Humana Common 4,656 $350.79 Direct F2
holding HUM Options 4,598 15 Dec 2022 Humana Common 4,598 $376.61 Direct F3
holding HUM Options 3,932 15 Dec 2022 Humana Common 3,932 $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.