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

Role
Chief Legal Officer
Signature
Joseph C. Ventura
Issuer symbol
HUM
Transactions as of
15 Dec 2023
Net transactions value
-$236,889
Form type
4
Filing time
19 Dec 2023, 10:11:23 UTC
Previous filing
28 Feb 2023
Next filing
23 Feb 2024
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 +373 +8.9% $0.000000 4,560 15 Dec 2023 Direct
transaction HUM Humana Common Tax liability $80,663 -174 -3.8% $463.58 4,386 15 Dec 2023 Direct F10
transaction HUM Humana Common Options Exercise $0 +362 +8.3% $0.000000 4,748 15 Dec 2023 Direct
transaction HUM Humana Common Tax liability $78,345 -169 -3.6% $463.58 4,579 15 Dec 2023 Direct F10
transaction HUM Humana Common Options Exercise $0 +359 +7.8% $0.000000 4,938 15 Dec 2023 Direct
transaction HUM Humana Common Tax liability $77,881 -168 -3.4% $463.58 4,770 15 Dec 2023 Direct F10
holding HUM Humana Common 240 15 Dec 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% $0.000000* 0 15 Dec 2023 Humana Common 373 Direct F6, F7
transaction HUM Restricted Stock Units Options Exercise $0 -362 -50% $0.000000 362 15 Dec 2023 Humana Common 362 Direct F6, F8
transaction HUM Restricted Stock Units Options Exercise $0 -359 -33% $0.000000 719 15 Dec 2023 Humana Common 359 Direct F6, F9
holding HUM Options 4,656 15 Dec 2023 Humana Common 4,656 $350.79 Direct F2
holding HUM Options 4,598 15 Dec 2023 Humana Common 4,598 $376.61 Direct F3
holding HUM Options 3,932 15 Dec 2023 Humana Common 3,932 $425.06 Direct F4
holding HUM Options 4,162 15 Dec 2023 Humana Common 4,162 $510.24 Direct F5
* 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, 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.