Joseph C. Ventura - Dec 15, 2023 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Legal Officer
Signature
Joseph C. Ventura
Stock symbol
HUM
Transactions as of
Dec 15, 2023
Transactions value $
-$236,889
Form type
4
Date filed
12/19/2023, 10:11 AM
Previous filing
Feb 28, 2023
Next filing
Feb 23, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +373 +8.91% $0.00 4.56 K Dec 15, 2023 Direct
transaction HUM Humana Common Tax liability -$80.7 K -174 -3.82% $463.58 4.39 K Dec 15, 2023 Direct F10
transaction HUM Humana Common Options Exercise $0 +362 +8.25% $0.00 4.75 K Dec 15, 2023 Direct
transaction HUM Humana Common Tax liability -$78.3 K -169 -3.56% $463.58 4.58 K Dec 15, 2023 Direct F10
transaction HUM Humana Common Options Exercise $0 +359 +7.84% $0.00 4.94 K Dec 15, 2023 Direct
transaction HUM Humana Common Tax liability -$77.9 K -168 -3.4% $463.58 4.77 K Dec 15, 2023 Direct F10
holding HUM Humana Common 240 Dec 15, 2023 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 -373 -100% $0.00 0 Dec 15, 2023 Humana Common 373 Direct F6, F7
transaction HUM Restricted Stock Units Options Exercise $0 -362 -50% $0.00 362 Dec 15, 2023 Humana Common 362 Direct F6, F8
transaction HUM Restricted Stock Units Options Exercise $0 -359 -33.3% $0.00 719 Dec 15, 2023 Humana Common 359 Direct F6, F9
holding HUM Options 4.66 K Dec 15, 2023 Humana Common 4.66 K $350.79 Direct F2
holding HUM Options 4.6 K Dec 15, 2023 Humana Common 4.6 K $376.61 Direct F3
holding HUM Options 3.93 K Dec 15, 2023 Humana Common 3.93 K $425.06 Direct F4
holding HUM Options 4.16 K Dec 15, 2023 Humana Common 4.16 K $510.24 Direct F5

Explanation of Responses:

Id Content
F1 Shares held for the benefit of reporting person as of November 30, 2023 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 buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2023, vesting in three annual increments from 2/24/24 to 2/24/26.
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 02/22/2021, 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 Restricted stock units granted to reporting person on 02/24/2023, 33% of the award is vesting on 12/15/23, 12/15/24, and 12/15/25.
F10 Disposition reported represents shares withheld for payment of tax liability associated with vesting of Restricted Stock Units on 12/15/23.