Filing Details
- Accession Number:
- 0001062993-23-005075
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-02-28 14:02:43
- Reporting Period:
- 2023-02-24
- Accepted Time:
- 2023-02-28 14:02:43
- 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 | Acquisiton | 2023-02-24 | 3,293 | $0.00 | 7,549 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2023-02-24 | 1,245 | $510.24 | 6,304 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2023-02-27 | 2,048 | $507.97 | 4,256 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2023-02-27 | 69 | $0.00 | 4,187 | No | 4 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | 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 | Acquisiton | 2023-02-24 | 4,162 | $0.00 | 4,162 | $510.24 |
| Humana Common | Restricted Stock Units | Acquisiton | 2023-02-24 | 1,078 | $0.00 | 1,078 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,162 | 2030-02-24 | No | 4 | A | Direct | |
| 1,078 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 231 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| 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 | 373 | 373 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 724 | 724 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2027-02-24 | 4,656 | 4,656 | Direct |
| 2028-02-22 | 4,598 | 4,598 | Direct |
| 2029-02-21 | 3,932 | 3,932 | Direct |
| 373 | 373 | Direct | |
| 724 | 724 | Direct |
Footnotes
- Shares held for the benefit of reporting person as of January 31, 2023 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 02/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.
- Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2023, vesting in three annual increments from 2/24/24 to 2/24/26.
- 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 02/22/2021, 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.
- Restricted stock units granted to reporting person on 02/24/2023, 33% of the award is vesting on 12/15/23, 12/15/24, and 12/15/25.
- Performance Stock Units vested on 2/24/23, not required to be reported until vest.
- Disposition reported represents shares withheld for payment of tax liability associated with vesting of Performance Stock Units on 2/24/23.
- Price reported is weighted average sales price.
- Disposition reported represents gift/charitable donation, effective February 27, 2023, in which no value was received in return.
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