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HUMANA INC — Director's Dealing 2021
Feb 24, 2021
30145_dirs_2021-02-24_3019d3a1-0be8-42d6-aa7b-d6abeb95fc00.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: 2021-02-22
Reporting Person: Shrank William H (Director, Chief Med & Corp Affairs Off.)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-22 | Options | $376.61 | A | 4057 | Acquired | 2028-02-22 | Humana Common (4057) | Direct |
| 2021-02-22 | Restricted Stock Units | $ | A | 986 | Acquired | Humana Common (986) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 580 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $248.005 | 2026-05-01 | Humana Common (6842) | 6842 | Direct |
| Options | $350.7875 | 2027-02-24 | Humana Common (5372) | 5372 | Direct |
| Restricted Stock Units | $ | Humana Common (1008) | 1008 | Direct | |
| Restricted Stock Units | $ | Humana Common (713) | 713 | Direct |
Footnotes
F1: Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 5/1/19, vesting in three increments from 5/1/20 to 5/1/22.
F2: 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.
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 02/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
F4: 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).
F5: Restricted stock units granted to reporting person on 5/1/19, 33% of the award is vesting on 5/1/20, 5/1/21, and 5/1/22.
F6: 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.
F7: 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.