Filing Details
- Accession Number:
- 0001062993-22-021633
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-11-07 12:52:39
- Reporting Period:
- 2022-11-03
- Accepted Time:
- 2022-11-07 12:52:39
- 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 |
|---|---|---|---|---|---|---|---|
| 1699801 | Kevin William Fleming | Humana Inc. 500 West Main Street Louisville KY 40202 | Seg Pres, Pharmacy Sol & Ccao | 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 | Acquisiton | 2022-11-03 | 6,860 | $307.97 | 9,402 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2022-11-03 | 4,297 | $350.79 | 13,699 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2022-11-03 | 11,157 | $565.61 | 2,542 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2022-11-03 | 900 | $0.00 | 1,642 | No | 4 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | G | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | Disposition | 2022-11-03 | 6,860 | $0.00 | 6,860 | $307.97 |
| Humana Common | Options | Disposition | 2022-11-03 | 4,297 | $0.00 | 4,297 | $350.79 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 324 | 2026-02-25 | No | 4 | M | Direct | |
| 2,149 | 2027-02-24 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 2,391 | Indirect | See Footnote |
| Humana Common | 119 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $376.61 | 2028-02-22 | 4,807 | 4,807 | Direct | |
| Humana Common | Options | $425.06 | 2029-02-21 | 3,750 | 3,750 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 428 | 428 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 779 | 779 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,035 | 1,035 | Direct | ||
| Humana Common | Phantom Stock Units | $0.00 | 24 | 24 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2028-02-22 | 4,807 | 4,807 | Direct |
| 2029-02-21 | 3,750 | 3,750 | Direct |
| 428 | 428 | Direct | |
| 779 | 779 | Direct | |
| 1,035 | 1,035 | Direct | |
| 24 | 24 | Indirect |
Footnotes
- Shares held for the benefit of reporting person as of October 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).
- Shares owned in the William K. Fleming Grantor Retained Annuity Trust (est. 7/2/2020). Reporting person is the sole trustee of the GRAT.
- 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 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 2/22/2021, 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.
- Phantom Stock Units held for the benefit of reporting person as of October 31, 2022 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.
- 1,658 shares transferred from Indirect (GRAT) to Direct ownership, effective 9/20/22.
- Shares disposed of represent gift/charitable donation, effective November 3, 2022, in which no value was received in return.
- Price reported is weighted average sales price.
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