0000049071-21-000058.txt : 20210223
0000049071-21-000058.hdr.sgml : 20210223
20210223210731
ACCESSION NUMBER: 0000049071-21-000058
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210219
FILED AS OF DATE: 20210223
DATE AS OF CHANGE: 20210223
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Diamond Susan M
CENTRAL INDEX KEY: 0001782445
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 21668161
MAIL ADDRESS:
STREET 1: 500 W MAIN ST.
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HUMANA INC
CENTRAL INDEX KEY: 0000049071
STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324]
IRS NUMBER: 610647538
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 500 W MAIN ST
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
BUSINESS PHONE: 5025801000
MAIL ADDRESS:
STREET 1: 500 W. MAIN ST
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
FORMER COMPANY:
FORMER CONFORMED NAME: EXTENDICARE INC
DATE OF NAME CHANGE: 19740404
FORMER COMPANY:
FORMER CONFORMED NAME: HERITAGE HOUSE OF AMERICA INC
DATE OF NAME CHANGE: 19671129
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2021-02-19
0000049071
HUMANA INC
HUM
0001782445
Diamond Susan M
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Segment President, Home Bus.
Humana Common
2021-02-19
4
M
0
1862
0
A
3774
D
Humana Common
2021-02-19
4
F
0
637
377.415
D
3137
D
Humana Common
2021-02-19
4
M
0
931
0
A
4068
D
Humana Common
2021-02-19
4
F
0
302
377.415
D
3766
D
Humana Common
2021-02-23
4
S
0
1580
376.0223
D
2186
D
Humana Common
2109
I
See Footnote
Options
350.7875
2027-02-24
Humana Common
4298
4298
D
Options
376.61
2021-02-22
4
A
0
4524
0
A
2028-02-22
Humana Common
4524
4524
D
Restricted Stock Units
2021-02-19
4
M
0
931
0
D
Humana Common
931
0
D
Restricted Stock Units
Humana Common
282
282
D
Restricted Stock Units
Humana Common
1023
1023
D
Restricted Stock Units
Humana Common
582
582
D
Restricted Stock Units
Humana Common
570
570
D
Restricted Stock Units
2021-02-22
4
A
0
1099
0
A
Humana Common
1099
1099
D
Phantom Stock Units
Humana Common
318
318
I
See Footnote.
Shares held for the benefit of the reporting person as of January 31, 2021 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).
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 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).
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 02/19/18, 931 shares vesting in three annual increments on 12/15/18, 12/15/19 and 12/15/20. and 931 shares vest fully three years from the date of grant. Shares reported are what remain unvested.
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.
Restricted stock units granted to reporting person on 06/01/19, 100% of the award is vesting on 6/1/22.
Restricted stock units granted to reporting person on 07/01/19, 33% of the award is vesting on 07/01/20, 07/01/21, and 07/01/22.
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.
Phantom Stock Units held for the benefit of reporting person as of January 31, 2021 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.
Includes Performance Stock Units that vested on 2/19/21.
Reporting person transferred a total of 464 shares of direct ownership on December 18, 2021 pursuant to a Domestic Relations Order. Reporting person was afforded a filing exemption under Rule 16a-12, which extends to securities transferred to a DRO.
Price reported is weighted avg sales price.
Susan M. Diamond
2021-02-23