Filing Details

Accession Number:
0000049071-21-000125
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-09-20 09:07:53
Reporting Period:
2021-09-16
Accepted Time:
2021-09-20 09:07:53
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
1025393 Jr/Ky A David Jones Chrysalis Ventures, Inc.
101 S. Fifth Street, Suite 1650
Louisville KY 40202
Yes No 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 Disposition 2021-09-16 4,800 $401.00 67,925 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 403 Direct
Humana Common 800 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Restricted Stock Units $0.00 5,892 5,892 Direct
Humana Common Restricted Stock Units $0.00 95 95 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
5,892 5,892 Direct
95 95 Direct
Footnotes
  1. Shares held in two trusts for the benefit of reporting person's son/daughter, respectively, in each case where the reporting person is the sole trustee.
  2. Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
  3. Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).
  4. Shares held by a revocable trust account (Dec 2009), on which reporting person is the sole trustee, holding certain shares of Humana Inc. common stock. Includes 453 shares that vested on 12/31/20 and transferred to trust on 1/4/21.
  5. Includes 403 restricted stock units pursuant to the annual Director's Fee Program representing a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan of which 100% is vesting on 12/31/21.
  6. Shares contributed by the David Jones Jr. Revocable Trust to an exchange fund in return for shares of the exchange fund. The Humana Inc. common stock was valued at $401.00 per share, using close of business price on the day prior to the exchange date, for purposes of determining the number of shares of the exchange fund issued to the Revocable Trust.