Filing Details
- Accession Number:
- 0001062993-22-021641
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-11-07 14:27:12
- Reporting Period:
- 2022-11-03
- Accepted Time:
- 2022-11-07 14:27:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1782445 | M Susan Diamond | Humana Inc. 500 West Main Street Louisville KY 40202 | Chief Financial 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 | Acquisiton | 2022-11-03 | 2,437 | $350.79 | 6,399 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2022-11-03 | 1,508 | $376.61 | 7,907 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2022-11-03 | 3,945 | $566.36 | 3,962 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2022-11-03 | 1,678 | $565.99 | 2,284 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2022-11-04 | 100 | $0.00 | 2,184 | 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 | 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 | 2,437 | $0.00 | 2,437 | $350.79 |
| Humana Common | Options | Disposition | 2022-11-03 | 1,508 | $0.00 | 1,508 | $376.61 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,861 | 2027-02-24 | No | 4 | M | Direct | |
| 3,016 | 2028-02-22 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 2,143 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $428.68 | 2028-08-01 | 3,793 | 3,793 | Direct | |
| Humana Common | Options | $425.06 | 2029-02-21 | 5,562 | 5,562 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 285 | 285 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 733 | 733 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 622 | 622 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 1,535 | 1,535 | Direct | ||
| Humana Common | Phantom Stock Units | $0.00 | 320 | 320 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2028-08-01 | 3,793 | 3,793 | Direct |
| 2029-02-21 | 5,562 | 5,562 | Direct |
| 285 | 285 | Direct | |
| 733 | 733 | Direct | |
| 622 | 622 | Direct | |
| 1,535 | 1,535 | Direct | |
| 320 | 320 | Indirect |
Footnotes
- Shares held for the benefit of the 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).
- 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 8/1/2021, vesting in three annual increments from 8/1/22 to 8/1/24.
- Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/21/2022, 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 08/1/2021, 33% of the award is vesting on 8/1/22, 8/1/23, and 8/1/24.
- 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.
- Price reported is weighted average sales price.
- Shares disposed of represent gift/charitable donation, effective November 4, 2022 in which no value was received in return.
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