Filing Details

Accession Number:
0000049071-20-000149
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-11-09 12:15:09
Reporting Period:
2020-11-05
Accepted Time:
2020-11-09 12:15:09
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
1628102 H Cynthia Zipperle Humana Inc.
500 West Main St
Louisville KY 40202
Svp, Chief Acct Officer & Cont No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Humana Common Disposition 2020-11-05 1,000 $443.58 2,162 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 893 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Restricted Stock Units $0.00 302 302 Direct
Humana Common Restricted Stock Units $0.00 745 745 Direct
Humana Common Restricted Stock Units $0.00 542 542 Direct
Humana Common Restricted Stock Units $0.00 713 713 Direct
Humana Common Phantom Stock Units $0.00 281 281 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
302 302 Direct
745 745 Direct
542 542 Direct
713 713 Direct
281 281 Indirect
Footnotes
  1. 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).
  2. 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).
  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).
  4. 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.
  5. Restricted stock units granted to reporting person on 02/19/18, 100% of the award is vesting on 02/19/21.
  6. 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.
  7. 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.
  8. 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.
  9. All shares sold at reported price.