Susan M. Diamond - Dec 15, 2022 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Financial Officer
Signature
Susan M. Diamond
Stock symbol
HUM
Transactions as of
Dec 15, 2022
Transactions value $
-$276,431
Form type
4
Date filed
12/19/2022, 12:31 PM
Previous filing
Nov 7, 2022
Next filing
Feb 28, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +285 +13.05% $0.00 2.47K Dec 15, 2022 Direct
transaction HUM Humana Common Tax liability -$67.8K -133 -5.39% $510.02 2.34K Dec 15, 2022 Direct F12
transaction HUM Humana Common Options Exercise $0 +366 +15.67% $0.00 2.7K Dec 15, 2022 Direct
transaction HUM Humana Common Tax liability -$87.2K -171 -6.33% $510.02 2.53K Dec 15, 2022 Direct F12
transaction HUM Humana Common Options Exercise $0 +511 +20.19% $0.00 3.04K Dec 15, 2022 Direct
transaction HUM Humana Common Tax liability -$121K -238 -7.82% $510.02 2.8K Dec 15, 2022 Direct F12
holding HUM Humana Common 2.14K Dec 15, 2022 See Footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HUM Restricted Stock Units Options Exercise $0 -285 -100% $0.00* 0 Dec 15, 2022 Humana Common 285 Direct F6, F7
transaction HUM Restricted Stock Units Options Exercise $0 -366 -49.93% $0.00 367 Dec 15, 2022 Humana Common 366 Direct F6, F8
transaction HUM Restricted Stock Units Options Exercise $0 -511 -33.29% $0.00 1.02K Dec 15, 2022 Humana Common 511 Direct F6, F10
holding HUM Options 1.86K Dec 15, 2022 Humana Common 1.86K $350.79 Direct F2
holding HUM Options 3.02K Dec 15, 2022 Humana Common 3.02K $376.61 Direct F3
holding HUM Options 3.79K Dec 15, 2022 Humana Common 3.79K $428.68 Direct F4
holding HUM Options 5.56K Dec 15, 2022 Humana Common 5.56K $425.06 Direct F5
holding HUM Restricted Stock Units 622 Dec 15, 2022 Humana Common 622 Direct F6, F9
holding HUM Phantom Stock Units 320 Dec 15, 2022 Humana Common 320 See Footnote. F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares held for the benefit of the reporting person as of November 30, 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).
F2 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.
F3 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.
F4 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.
F5 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.
F6 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).
F7 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.
F8 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.
F9 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.
F10 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.
F11 Phantom Stock Units held for the benefit of reporting person as of November 30, 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.
F12 Disposition reported represents payment for tax liability on shares vesting on 12/15/22, with no value received in return.