Susan M. Diamond - Feb 24, 2023 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Financial Officer
Signature
Susan M. Diamond
Stock symbol
HUM
Transactions as of
Feb 24, 2023
Transactions value $
-$574,023
Form type
4
Date filed
2/28/2023, 09:15 AM
Previous filing
Dec 19, 2022
Next filing
May 5, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +3.04K +108.38% $0.00 5.84K Feb 24, 2023 Direct F13
transaction HUM Humana Common Tax liability -$574K -1.13K -19.25% $510.24 4.72K Feb 24, 2023 Direct F14
holding HUM Humana Common 2.14K Feb 24, 2023 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 Options Award $0 +6.81K $0.00 6.81K Feb 24, 2023 Humana Common 6.81K $510.24 Direct F6
transaction HUM Restricted Stock Units Award $0 +1.76K $0.00 1.76K Feb 24, 2023 Humana Common 1.76K Direct F7, F11
holding HUM Options 1.86K Feb 24, 2023 Humana Common 1.86K $350.79 Direct F2
holding HUM Options 3.02K Feb 24, 2023 Humana Common 3.02K $376.61 Direct F3
holding HUM Options 3.79K Feb 24, 2023 Humana Common 3.79K $428.68 Direct F4
holding HUM Options 5.56K Feb 24, 2023 Humana Common 5.56K $425.06 Direct F5
holding HUM Restricted Stock Units 367 Feb 24, 2023 Humana Common 367 Direct F7, F8
holding HUM Restricted Stock Units 622 Feb 24, 2023 Humana Common 622 Direct F7, F9
holding HUM Restricted Stock Units 1.02K Feb 24, 2023 Humana Common 1.02K Direct F7, F10
holding HUM Phantom Stock Units 321 Feb 24, 2023 Humana Common 321 See Footnote. F11, F12
* 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 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).
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 buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/24/2023, vesting in three annual increments from 2/24/24 to 2/24/26.
F7 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).
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 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.
F12 Phantom Stock Units held for the benefit of reporting person as of January 31, 2023 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.
F13 Performance Stock Units vested on 2/24/23, not required to be reported until vest.
F14 Disposition reported represents shares withheld for payment of tax liability associated with vesting of Performance Stock Units on 2/24/23.