0001062993-23-010402.txt : 20230508 0001062993-23-010402.hdr.sgml : 20230508 20230508140458 ACCESSION NUMBER: 0001062993-23-010402 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230504 FILED AS OF DATE: 20230508 DATE AS OF CHANGE: 20230508 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: 23897076 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 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0407 4 2023-05-04 0000049071 HUMANA INC HUM 0001782445 Diamond Susan M HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Chief Financial Officer 0 Humana Common 2023-05-04 4 M 0 1508 376.61 A 6226 D Humana Common 2023-05-04 4 M 0 1148 350.7875 A 7374 D Humana Common 2023-05-04 4 M 0 713 350.7875 A 8087 D Humana Common 2023-05-04 4 S 0 2656 526.0194 D 5431 D Humana Common 2023-05-04 4 S 0 1500 526.7459 D 3931 D Humana Common 2023-05-04 4 G 0 100 0 D 3831 D Humana Common 2023-05-05 4 J 0 700 0 D 3131 D Humana Common 2145 I See Footnote Options 350.7875 2023-05-04 4 M 0 1861 0 D 2027-02-24 Humana Common 1861 0 D Options 376.61 2023-05-04 4 M 0 1508 0 D 2028-02-22 Humana Common 1508 1508 D Options 428.6767 2028-08-01 Humana Common 3793 3793 D Options 425.055 2029-02-21 Humana Common 5562 5562 D Options 510.2425 2030-02-24 Humana Common 6810 6810 D Restricted Stock Units Humana Common 367 367 D Restricted Stock Units Humana Common 622 622 D Restricted Stock Units Humana Common 1024 1024 D Restricted Stock Units Humana Common 1764 1764 D Phantom Stock Units Humana Common 321 321 I See Footnote. Shares held for the benefit of the reporting person as of April 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). 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 8/1/2021, vesting in three annual increments from 8/1/22 to 8/1/24. Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25. Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/24/2023, vesting in three annual increments from 2/24/24 to 2/24/26. 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 02/22/2021, 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 08/1/2021, 33% of the award is vesting on 8/1/22, 8/1/23, and 8/1/24. 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. 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. Phantom Stock Units held for the benefit of reporting person as of April 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. Price reported is weighted average sales price. All shares sold at price reported. Reporting person made a gift/charitable donation, effective May 4, 2023, in which no value was received in return. Reporting person transferred a total of 700 shares of direct ownership on May 5, 2023 pursuant to a Domestic Relations Order. Susan M. Diamond 2023-05-08