Susan M. Diamond - 01 Aug 2024 Form 4 Insider Report for HUMANA INC (HUM)

Role: Chief Financial Officer
Signature: Susan M. Diamond
Issuer symbol: HUM
Transactions as of: 01 Aug 2024
Net transactions value: -$50,740
Form type: 4
Filing time: 02 Aug 2024, 17:03:26 UTC
Previous filing: 04 Jun 2024
Next filing: 03 Oct 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	+311	+1.6%	$0.000000	20,102	01 Aug 2024	Direct	F11
transaction	HUM	Humana Common	Tax liability	$50,740	-142	-0.71%	$357.32	19,960	01 Aug 2024	Direct	F11, F12
holding	HUM	Humana Common						2,179	01 Aug 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	Restricted Stock Units	Options Exercise	$0	-311	-100%	$0.000000^*	0	01 Aug 2024	Humana Common	311		Direct	F7, F8
holding	HUM	Options						1,508	01 Aug 2024	Humana Common	1,508	$376.61	Direct	F2
holding	HUM	Options						3,793	01 Aug 2024	Humana Common	3,793	$428.68	Direct	F3
holding	HUM	Options						5,562	01 Aug 2024	Humana Common	5,562	$425.06	Direct	F4
holding	HUM	Options						6,810	01 Aug 2024	Humana Common	6,810	$510.24	Direct	F5
holding	HUM	Options						9,989	01 Aug 2024	Humana Common	9,989	$367.21	Direct	F6
holding	HUM	Restricted Stock Units						512	01 Aug 2024	Humana Common	512		Direct	F7, F9
holding	HUM	Restricted Stock Units						1,176	01 Aug 2024	Humana Common	1,176		Direct	F7, F10
holding	HUM	Phantom Stock Units						327	01 Aug 2024	Humana Common	327		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 the reporting person as of July 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 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.
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 8/1/2021, vesting in three annual increments from 8/1/22 to 8/1/24.
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 2/21/2022, 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 2/24/2023, vesting in three annual increments from 2/24/24 to 2/24/26.
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 2/21/2024, vesting in three annual increments from 2/21/25 to 2/21/27.
F7	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).
F8	Restricted stock units granted to reporting person on 08/1/2021, 33% of the award is vesting on 8/1/22, 8/1/23, and 8/1/24.
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	Includes 13,480 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.
F12	Shares disposed of represent payment of tax liability resulting from vesting of Restricted Stock Units on 8/1/24.
F13	Phantom Stock Units held for the benefit of reporting person as of July 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.