AI assistant
HUMANA INC — Director's Dealing 2021
Sep 3, 2021
30145_dirs_2021-09-03_039a9fac-4409-428b-97f5-7b76b6011f57.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2021-09-01
Reporting Person: Cox Heather (Chief Dig Health & Analyt Off.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-09-01 | Humana Common | M | 752 | — | Acquired | 2789 | Direct |
| 2021-09-01 | Humana Common | F | 184 | $403.05 | Disposed | 2605 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-09-01 | Restricted Stock Units | $ | M | 752 | Disposed | Humana Common (752) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 380 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $332.675 | 2025-09-01 | Humana Common (10155) | 10155 | Direct |
| Options | $307.965 | 2026-02-25 | Humana Common (5388) | 5388 | Direct |
| Options | $350.7875 | 2027-02-24 | Humana Common (5372) | 5372 | Direct |
| Options | $376.61 | 2028-02-22 | Humana Common (4057) | 4057 | Direct |
| Restricted Stock Units | $ | Humana Common (406) | 406 | Direct | |
| Restricted Stock Units | $ | Humana Common (713) | 713 | Direct | |
| Restricted Stock Units | $ | Humana Common (986) | 986 | Direct |
Footnotes
F1: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive & Non-Qualified stock options granted to reporting person on 9/1/2018, vesting in three increments from 9/1/19 to 9/1/21.
F2: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive & Non-Qualified stock options granted to reporting person on 2/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
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 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23.
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 02/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
F5: 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).
F6: 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).
F7: Restricted stock units granted to reporting person on 9/1/2018, 33% of the award is vesting on 9/1/2019, 9/1/2020 and 9/1/2021.
F8: Restricted stock units granted to reporting person on 2/25/2019, 33% of the award is vesting on 12/15/2019, 12/15/2020 and 12/15/2021.
F9: 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.
F10: 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.
F11: Shares owned by spouse in Individual Retirement Account.