William K. Fleming - Feb 21, 2024 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Corporate Aff. Officer
Signature
William K. Fleming
Stock symbol
HUM
Transactions as of
Feb 21, 2024
Transactions value $
-$448,845
Form type
4
Date filed
2/23/2024, 02:29 PM
Previous filing
Dec 19, 2023
Next filing
Sep 30, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +3.57K +44.65% $0.00 11.6K Feb 22, 2024 Direct F14
transaction HUM Humana Common Tax liability -$449K -1.23K -10.61% $366.11 10.3K Feb 22, 2024 Direct F15
transaction HUM Humana Common Award $0 +1.4K +13.52% $0.00 11.7K Feb 21, 2024 Direct F11, F12
holding HUM Humana Common 121 Feb 21, 2024 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 Award $0 +5.39K $0.00 5.39K Feb 21, 2024 Humana Common 5.39K $367.21 Direct F7
holding HUM Options 324 Feb 21, 2024 Humana Common 324 $307.97 Direct F2
holding HUM Options 2.15K Feb 21, 2024 Humana Common 2.15K $350.79 Direct F3
holding HUM Options 4.81K Feb 21, 2024 Humana Common 4.81K $376.61 Direct F4
holding HUM Options 3.75K Feb 21, 2024 Humana Common 3.75K $425.06 Direct F5
holding HUM Options 3.7K Feb 21, 2024 Humana Common 3.7K $510.24 Direct F6
holding HUM Restricted Stock Units 345 Feb 21, 2024 Humana Common 345 Direct F8, F9
holding HUM Restricted Stock Units 639 Feb 21, 2024 Humana Common 639 Direct F8, F10
holding HUM Phantom Stock Units 24 Feb 21, 2024 Humana Common 24 See Footnote F13
* 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 January 31, 2024 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 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
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 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23.
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 2/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
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 02/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.
F6 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.
F7 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/21/2024, vesting in three annual increments from 2/21/25 to 2/21/27.
F8 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).
F9 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.
F10 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.
F11 Restricted stock units granted to reporting person on 2/21/24.
F12 Includes 1,396 restricted stock units representing a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan.
F13 Phantom Stock Units held for the benefit of reporting person as of January 31, 2024 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.
F14 Includes Performance Stock Units that are not required to be reported until vest.
F15 Disposition reported represents shares withheld for payment of tax liability associated with vesting of Performance Stock Units on 2/22/24.