Filing Details

Accession Number:
0000049071-21-000090
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-05-06 13:00:00
Reporting Period:
2021-05-04
Accepted Time:
2021-05-06 11:25:09
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
1699801 Kevin William Fleming Humana Inc.
500 West Main Street
Louisville KY 40202
Seg Pres, Clin & Phm Solutions 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 2021-05-04 372 $268.47 6,341 No 4 M Direct
Humana Common Disposition 2021-05-04 222 $449.90 6,119 No 4 F Direct
Humana Common Acquisiton 2021-05-04 6,251 $268.47 12,370 No 4 M Direct
Humana Common Acquisiton 2021-05-04 1,391 $271.14 13,761 No 4 M Direct
Humana Common Disposition 2021-05-04 7,642 $459.21 6,119 No 4 S Direct
Humana Common Disposition 2021-05-04 1,257 $459.74 4,862 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Humana Common Options Disposition 2021-05-04 6,623 $0.00 6,623 $268.47
Humana Common Options Disposition 2021-05-04 1,391 $0.00 1,391 $271.14
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2025-02-19 No 4 M Direct
0 2025-02-19 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 117 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Options $307.97 2026-02-25 7,184 7,184 Direct
Humana Common Options $350.79 2027-02-24 6,446 6,446 Direct
Humana Common Options $376.61 2028-02-22 4,807 4,807 Direct
Humana Common Restricted Stock Units $0.00 542 542 Direct
Humana Common Restricted Stock Units $0.00 856 856 Direct
Humana Common Restricted Stock Units $0.00 1,168 1,168 Direct
Humana Common Phantom Stock Units $0.00 23 23 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2026-02-25 7,184 7,184 Direct
2027-02-24 6,446 6,446 Direct
2028-02-22 4,807 4,807 Direct
542 542 Direct
856 856 Direct
1,168 1,168 Direct
23 23 Indirect
Footnotes
  1. Shares held for the benefit of reporting person as of April 30, 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).
  2. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 2/19/19 to 2/19/21.
  3. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/1/2018, vesting in three increments from 2/19/19 to 2/19/21.
  4. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
  5. 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.
  6. Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
  7. 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).
  8. 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).
  9. Restricted stock units granted to reporting person on 2/25/19, 33% of the award is vesting on 12/15/19, 12/15/20 and 12/15/21.
  10. 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.
  11. 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.
  12. Phantom Stock Units held for the benefit of reporting person as of April 30, 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.
  13. Shares swapped for the purchase price of a stock option exercise, using Fair Market Value of Humana Inc. common stock on May 3, 2021, per the 2011 Stock Incentive Plan.
  14. Price reported is weighed avg sales price.