Filing Details
- Accession Number:
- 0001062993-22-019857
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-09-22 14:51:23
- Reporting Period:
- 2022-09-20
- Accepted Time:
- 2022-09-22 14:51:23
- 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 |
|---|---|---|---|---|---|---|---|
| 1768291 | C Joseph Ventura | Humana Inc. 500 W Main Street Louisville KY 40202 | Chief Legal Officer | 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 | 2022-09-20 | 1,226 | $506.78 | 3,930 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2022-09-20 | 61 | $0.00 | 3,869 | No | 4 | G | Direct | |
| Humana Common | Disposition | 2022-03-03 | 70 | $0.00 | 3,799 | No | 4 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | G | Direct | |
| No | 4 | G | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 229 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $307.97 | 2026-02-25 | 3,592 | 3,592 | Direct | |
| Humana Common | Options | $350.79 | 2027-02-24 | 4,656 | 4,656 | Direct | |
| Humana Common | Options | $376.61 | 2028-02-22 | 4,598 | 4,598 | Direct | |
| Humana Common | Options | $425.06 | 2029-02-21 | 3,932 | 3,932 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 309 | 309 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 745 | 745 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,085 | 1,085 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2026-02-25 | 3,592 | 3,592 | Direct |
| 2027-02-24 | 4,656 | 4,656 | Direct |
| 2028-02-22 | 4,598 | 4,598 | Direct |
| 2029-02-21 | 3,932 | 3,932 | Direct |
| 309 | 309 | Direct | |
| 745 | 745 | Direct | |
| 1,085 | 1,085 | Direct |
Footnotes
- Shares held for the benefit of reporting person as of August 31, 2022 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 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
- 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 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.
- 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.
- 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 02/24/2020, 33% of the award is vesting on 12/15/20, 12/15/21, and 12/15/22.
- 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.
- 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.
- Price reported is average sales price.
- Shares disposed of represent a gift/charitable donation effective September 20, 2022 in which no value was received in return.
- Shares disposed of represent a gift/charitable donation effective March 3, 2022 in which no value was received in return.
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