0001062993-22-024068.txt : 20221219
0001062993-22-024068.hdr.sgml : 20221219
20221219133620
ACCESSION NUMBER: 0001062993-22-024068
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: Fleming William Kevin
CENTRAL INDEX KEY: 0001699801
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 221470590
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
0001699801
Fleming William Kevin
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Seg Pres, Pharmacy Sol & CCAO
Humana Common
2022-12-15
4
M
0
428
0
A
2070
D
Humana Common
2022-12-15
4
F
0
197
510.02
D
1873
D
Humana Common
2022-12-15
4
M
0
389
0
A
2262
D
Humana Common
2022-12-15
4
F
0
179
510.02
D
2083
D
Humana Common
2022-12-15
4
M
0
345
0
A
2428
D
Humana Common
2022-12-15
4
F
0
159
510.02
D
2269
D
Humana Common
2391
I
See Footnote
Humana Common
118
I
See Footnote
Options
307.965
2026-02-25
Humana Common
324
324
D
Options
350.7875
2027-02-24
Humana Common
2149
2149
D
Options
376.61
2028-02-22
Humana Common
4807
4807
D
Options
425.055
2029-02-21
Humana Common
3750
3750
D
Restricted Stock Units
2022-12-15
4
M
0
428
0
D
Humana Common
428
0
D
Restricted Stock Units
2022-12-15
4
M
0
389
0
D
Humana Common
389
390
D
Restricted Stock Units
2022-12-15
4
M
0
345
0
D
Humana Common
345
690
D
Phantom Stock Units
Humana Common
24
24
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).
Shares owned in the William K. Fleming Grantor Retained Annuity Trust (est. 7/2/2020). Reporting person is the sole trustee of the GRAT.
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 2/22/2021, 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 was received in return.
William K. Fleming
2022-12-19