William K. Fleming - 15 Dec 2023 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Corporate Aff. Officer
Signature
William K. Fleming
Issuer symbol
HUM
Transactions as of
15 Dec 2023
Transactions value $
-$224,836
Form type
4
Filing time
19 Dec 2023, 10:48:21 UTC
Previous filing
28 Feb 2023
Next filing
23 Feb 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +390 +5.26% $0.00 7.81K 15 Dec 2023 Direct F2
transaction HUM Humana Common Tax liability -$83K -179 -2.29% $463.58 7.63K 15 Dec 2023 Direct F13
transaction HUM Humana Common Options Exercise $0 +345 +4.52% $0.00 7.97K 15 Dec 2023 Direct
transaction HUM Humana Common Tax liability -$73.7K -159 -1.99% $463.58 7.82K 15 Dec 2023 Direct F13
transaction HUM Humana Common Options Exercise $0 +319 +4.08% $0.00 8.13K 15 Dec 2023 Direct
transaction HUM Humana Common Tax liability -$68.1K -147 -1.81% $463.58 7.99K 15 Dec 2023 Direct F13
holding HUM Humana Common 120 15 Dec 2023 See Footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HUM Restricted Stock Units Options Exercise $0 -390 -100% $0.00* 0 15 Dec 2023 Humana Common 390 Direct F8, F9
transaction HUM Restricted Stock Units Options Exercise $0 -345 -50% $0.00 345 15 Dec 2023 Humana Common 345 Direct F8, F10
transaction HUM Restricted Stock Units Options Exercise $0 -319 -33.3% $0.00 639 15 Dec 2023 Humana Common 319 Direct F8, F11
holding HUM Options 324 15 Dec 2023 Humana Common 324 $307.97 Direct F3
holding HUM Options 2.15K 15 Dec 2023 Humana Common 2.15K $350.79 Direct F4
holding HUM Options 4.81K 15 Dec 2023 Humana Common 4.81K $376.61 Direct F5
holding HUM Options 3.75K 15 Dec 2023 Humana Common 3.75K $425.06 Direct F6
holding HUM Options 3.7K 15 Dec 2023 Humana Common 3.7K $510.24 Direct F7
holding HUM Phantom Stock Units 24 15 Dec 2023 Humana Common 24 See Footnote F12
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares held for the benefit of reporting person as of November 30, 2023 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
F2 2,391 shares were transferred from William K. Fleming Grantor Retained Annuity Trust (est. 7/2/2020) to direct ownership on 9/15/2023.
F3 Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22.
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 2/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
F6 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.
F7 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2023, vesting in three annual increments from 2/24/24 to 2/24/26.
F8 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).
F9 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.
F10 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.
F11 Restricted stock units granted to reporting person on 02/24/2023, 33% of the award is vesting on 12/15/23, 12/15/24, and 12/15/25.
F12 Phantom Stock Units held for the benefit of reporting person as of November 30, 2023 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctuation due to changes in stock price.
F13 Disposition reported represents shares withheld for payment of tax liability associated with vesting of Restricted Stock Units on 12/15/23.