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Filing Details

Accession Number:: 0000049071-20-000144
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-11-06 13:13:05
Reporting Period:: 2020-11-04

Accepted Time:: 2020-11-06 13:13:05
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
49071	Humana Inc	HUM	Hospital & Medical Service Plans (6324)	610647538

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1699799	Alan Timothy Wheatley	Humana Inc. 500 West Main Street Louisville KY 40202	Segment President, Retail	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Humana Common	Acquisiton	2020-11-04	10,914	$217.42	18,803	No	4	M	Direct
Humana Common	Acquisiton	2020-11-04	2,207	$268.47	21,010	No	4	M	Direct
Humana Common	Disposition	2020-11-04	13,121	$446.43	7,889	No	4	S	Direct
Humana Common	Disposition	2020-11-04	2,138	$449.48	5,751	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Humana Common	Options	Disposition	2020-11-04	10,914	$0.00	10,914	$217.42
Humana Common	Options	Disposition	2020-11-04	2,207	$0.00	2,207	$268.47

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
918		2024-03-08	No	4	M	Direct
2,209		2025-02-19	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Humana Common	911	Indirect	See Footnote

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Humana Common	Options	$271.14	2025-03-01	928	928	Direct
Humana Common	Options	$307.97	2026-02-25	7,902	7,902	Direct
Humana Common	Options	$350.79	2027-02-24	8,595	8,595	Direct
Humana Common	Restricted Stock Units	$0.00		513	513	Direct
Humana Common	Restricted Stock Units	$0.00		108	108	Direct
Humana Common	Restricted Stock Units	$0.00		1,191	1,191	Direct
Humana Common	Restricted Stock Units	$0.00		1,710	1,710	Direct
Humana Common	Phantom Stock Units	$0.00		138	138	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2025-03-01	928	928	Direct
2026-02-25	7,902	7,902	Direct
2027-02-24	8,595	8,595	Direct
	513	513	Direct
	108	108	Direct
	1,191	1,191	Direct
	1,710	1,710	Direct
	138	138	Indirect

Footnotes

Shares held for the benefit of reporting person as of October 31, 2020 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).
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 12,998 options vesting in three annual increments, and 7,499 options fully vest three years from the date of grant.
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 02/19/2019 to 02/19/2021.
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.
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/1/2018, vesting in three increments from 3/1/19 to 3/1/21.
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.
Right to receive one share per restricted stock unit pursuant to the Company's 2011 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).
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).
Restricted stock units granted to reporting person on 02/19/18, 33% of the award is vesting on 12/15/18, 12/15/19 and 12/15/20.
Restricted stock units granted to reporting person on 03/1/18, 33% of the award is vesting on 12/15/18, 12/15/19 and 12/15/20.
Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21.
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.
Phantom Stock Units held for the benefit of reporting person as of October 31, 2020 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.
Shares sold at prices ranging from $445.09 to $448.11. Price reported is weighted average sales price.
All shares sold at reported price.