Filing Details
- Accession Number:
- 0001062993-22-024057
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-12-19 12:30:11
- Reporting Period:
- 2022-12-15
- Accepted Time:
- 2022-12-19 12:30:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1565717 | S. Timothy Huval | Humana Inc. 500 West Main Street Louisville KY 40202 | Chief Administrative Officer | 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 | 2022-12-15 | 404 | $0.00 | 5,372 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2022-12-15 | 185 | $510.02 | 5,187 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2022-12-15 | 405 | $0.00 | 5,592 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2022-12-15 | 185 | $510.02 | 5,407 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2022-12-15 | 361 | $0.00 | 5,768 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2022-12-15 | 165 | $510.02 | 5,603 | No | 4 | F | Direct | |
| Humana Common | Disposition | 2022-12-16 | 635 | $497.71 | 4,968 | 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 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Humana Common | Restricted Stock Units | Disposition | 2022-12-15 | 404 | $0.00 | 404 | $0.00 |
| Humana Common | Restricted Stock Units | Disposition | 2022-12-15 | 405 | $0.00 | 405 | $0.00 |
| Humana Common | Restricted Stock Units | Disposition | 2022-12-15 | 361 | $0.00 | 361 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 406 | No | 4 | M | Direct | ||
| 724 | No | 4 | M | Direct |
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 | 324 | 324 | Direct | |
| Humana Common | Options | $350.79 | 2027-02-24 | 2,030 | 2,030 | Direct | |
| Humana Common | Options | $376.61 | 2028-02-22 | 3,336 | 3,336 | Direct | |
| Humana Common | Options | $425.06 | 2029-02-21 | 3,932 | 3,932 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2026-02-25 | 324 | 324 | Direct |
| 2027-02-24 | 2,030 | 2,030 | Direct |
| 2028-02-22 | 3,336 | 3,336 | Direct |
| 2029-02-21 | 3,932 | 3,932 | Direct |
Footnotes
- Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/19, vesting in three increments from 02/25/20 to 02/25/22.
- 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 buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.
- 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 02/24/2020, 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.
- 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.
- Shares disposed of represent payment for tax liability on shares vesting 12/15/22, no value received in return.
- Price reported is weighted average sales price.
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