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HUMANA INC — Director's Dealing 2021
May 3, 2021
30145_dirs_2021-05-03_bc1955c9-b047-44d4-bd28-a92b530431bb.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2021-04-29
Reporting Person: HUNTER CHRISTOPHER H. (Seg Pres. Gr. & Military Bus.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-04-29 | Humana Common | S | 5156 | $443.76380 | Disposed | 8653 | Direct |
| 2021-04-30 | Humana Common | G | 405 | — | Disposed | 8248 | Direct |
| 2021-03-16 | Humana Common | G | 80 | — | Disposed | 8168 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $217.415 | 2024-03-08 | Humana Common (459) | 459 | Direct |
| Options | $268.47 | 2025-02-19 | Humana Common (6623) | 6623 | Direct |
| Options | $307.965 | 2026-02-25 | Humana Common (6106) | 6106 | Direct |
| Options | $350.7875 | 2027-02-24 | Humana Common (6088) | 6088 | Direct |
| Options | $376.61 | 2028-02-22 | Humana Common (4598) | 4598 | Direct |
| Restricted Stock Units | $ | Humana Common (460) | 460 | Direct | |
| Restricted Stock Units | $ | Humana Common (808) | 808 | Direct | |
| Restricted Stock Units | $ | Humana Common (1117) | 1117 | Direct |
Footnotes
F1: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 12,998 options vesting in three annual increments, and 6,499 options fully vest three years from the date of grant.
F2: Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/18, vesting in three increments from 02/19/19 to 02/19/21.
F3: Right to buy pursuant to 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.
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 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23.
F5: 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.
F6: 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) under Company's 2011 Plan.
F7: 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).
F8: 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.
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: Price reported is weighted avg sales price.
F12: Shares reported represent a gift/charitable donation effective April 30, 2021, in which no value was received in return.
F13: Shares reported represent a gift/charitable donation effective March 16, 2021, in which no value was received in return.