0001062993-23-022817.txt : 20231219
0001062993-23-022817.hdr.sgml : 20231219
20231219110816
ACCESSION NUMBER: 0001062993-23-022817
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231215
FILED AS OF DATE: 20231219
DATE AS OF CHANGE: 20231219
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Diamond Susan M
CENTRAL INDEX KEY: 0001782445
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 231495971
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]
ORGANIZATION NAME: 02 Finance
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
X0508
4
2023-12-15
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
2023-12-15
4
M
0
367
0
A
3664
D
Humana Common
2023-12-15
4
F
0
171
463.58
D
3493
D
Humana Common
2023-12-15
4
M
0
512
0
A
4005
D
Humana Common
2023-12-15
4
F
0
239
463.58
D
3766
D
Humana Common
2023-12-15
4
M
0
588
0
A
4354
D
Humana Common
2023-12-15
4
F
0
274
463.58
D
4080
D
Humana Common
2157
I
See Footnote
Options
376.61
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
2023-12-15
4
M
0
367
0
D
Humana Common
367
0
D
Restricted Stock Units
Humana Common
311
311
D
Restricted Stock Units
2023-12-15
4
M
0
512
0
D
Humana Common
512
512
D
Restricted Stock Units
2023-12-15
4
M
0
588
0
D
Humana Common
588
1176
D
Phantom Stock Units
Humana Common
323
323
I
See Footnote.
Shares held for the benefit of the reporting person as of November 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 02/22/2021, 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. Shares remaining unvested from this award were erroneously reported on previous Form 4, but corrected in this filing.
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 November 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.
Shares disposed of represent payment of tax liability resulting from vesting of Restricted Stock Units on 12/15/23.
Susan M. Diamond
2023-12-19