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Filing Details

Accession Number:: 0000049071-21-000058
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-02-23 21:07:31
Reporting Period:: 2021-02-19

Accepted Time:: 2021-02-23 21:07:31
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	Segment President, Home Bus.	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Humana Common	Acquisiton	2021-02-19	1,862	$0.00	3,774	No	4	M	Direct
Humana Common	Disposition	2021-02-19	637	$377.42	3,137	No	4	F	Direct
Humana Common	Acquisiton	2021-02-19	931	$0.00	4,068	No	4	M	Direct
Humana Common	Disposition	2021-02-19	302	$377.42	3,766	No	4	F	Direct
Humana Common	Disposition	2021-02-23	1,580	$376.02	2,186	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Humana Common	Options	Acquisiton	2021-02-22	4,524	$0.00	4,524	$376.61
Humana Common	Restricted Stock Units	Disposition	2021-02-19	931	$0.00	931	$0.00
Humana Common	Restricted Stock Units	Acquisiton	2021-02-22	1,099	$0.00	1,099	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
4,524	2028-02-22	No	4	A	Direct
0		No	4	M	Direct
1,099		No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Humana Common	2,109	Indirect	See Footnote

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Humana Common	Options	$350.79	2027-02-24	4,298	4,298	Direct
Humana Common	Restricted Stock Units	$0.00		282	282	Direct
Humana Common	Restricted Stock Units	$0.00		1,023	1,023	Direct
Humana Common	Restricted Stock Units	$0.00		582	582	Direct
Humana Common	Restricted Stock Units	$0.00		570	570	Direct
Humana Common	Phantom Stock Units	$0.00		318	318	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2027-02-24	4,298	4,298	Direct
	282	282	Direct
	1,023	1,023	Direct
	582	582	Direct
	570	570	Direct
	318	318	Indirect

Footnotes

Shares held for the benefit of the reporting person as of January 31, 2021 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 receive one share per restricted stock unit pursuant to the Company's 2011 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).
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 02/19/18, 931 shares vesting in three annual increments on 12/15/18, 12/15/19 and 12/15/20. and 931 shares vest fully three years from the date of grant. Shares reported are what remain unvested.
Restricted stock units granted to reporting person on 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/21.
Restricted stock units granted to reporting person on 06/01/19, 100% of the award is vesting on 6/1/22.
Restricted stock units granted to reporting person on 07/01/19, 33% of the award is vesting on 07/01/20, 07/01/21, and 07/01/22.
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.
Phantom Stock Units held for the benefit of reporting person as of January 31, 2021 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.
Includes Performance Stock Units that vested on 2/19/21.
Reporting person transferred a total of 464 shares of direct ownership on December 18, 2021 pursuant to a Domestic Relations Order. Reporting person was afforded a filing exemption under Rule 16a-12, which extends to securities transferred to a DRO.
Price reported is weighted avg sales price.