0001062993-22-024049.txt : 20221219
0001062993-22-024049.hdr.sgml : 20221219
20221219115440
ACCESSION NUMBER: 0001062993-22-024049
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221215
FILED AS OF DATE: 20221219
DATE AS OF CHANGE: 20221219
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wheatley Timothy Alan
CENTRAL INDEX KEY: 0001699799
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 221470209
MAIL ADDRESS:
STREET 1: 500 WEST MAIN STREET
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
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0306
4
2022-12-15
0000049071
HUMANA INC
HUM
0001699799
Wheatley Timothy Alan
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Segment President, Retail
Humana Common
2022-12-15
4
M
0
570
0
A
3692
D
Humana Common
2022-12-15
4
F
0
266
510.02
D
3426
D
Humana Common
2022-12-15
4
M
0
550
0
A
3976
D
Humana Common
2022-12-15
4
F
0
257
510.02
D
3719
D
Humana Common
2022-12-15
4
M
0
494
0
A
4213
D
Humana Common
2022-12-15
4
F
0
230
510.02
D
3983
D
Humana Common
1025
I
See Footnote
Options
217.415
2024-03-08
Humana Common
459
459
D
Options
268.47
2025-02-19
Humana Common
372
372
D
Options
307.965
2026-02-25
Humana Common
324
324
D
Options
350.7875
2027-02-24
Humana Common
2865
2865
D
Options
376.61
2028-02-22
Humana Common
4524
4524
D
Options
425.055
2029-02-21
Humana Common
5370
5370
D
Restricted Stock Units
2022-12-15
4
M
0
570
0
D
Humana Common
570
0
D
Restricted Stock Units
2022-12-15
4
M
0
550
0
D
Humana Common
550
550
D
Restricted Stock Units
2022-12-15
4
M
0
494
0
D
Humana Common
494
988
D
Phantom Stock Units
Humana Common
162
162
I
See Footnote
Shares held for the benefit of reporting person as of November 30, 2022 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 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 7,499 options fully vest three years from the date of grant.
Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 02/19/2019 to 02/19/2021.
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.
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 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.
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 02/24/2020, 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.
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.
Phantom Stock Units held for the benefit of reporting person as of November 30, 2022 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.
Shares disposed of represent payment for tax liability on shares vesting 12/15/22, no value received in return.
Timothy A. Wheatley
2022-12-19