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