0000049071-21-000050.txt : 20210223 0000049071-21-000050.hdr.sgml : 20210223 20210223172159 ACCESSION NUMBER: 0000049071-21-000050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210219 FILED AS OF DATE: 20210223 DATE AS OF CHANGE: 20210223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Huval Timothy S. CENTRAL INDEX KEY: 0001565717 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 21666882 MAIL ADDRESS: STREET 1: 500 W. 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 edgar.xml PRIMARY DOCUMENT X0306 4 2021-02-19 0000049071 HUMANA INC HUM 0001565717 Huval Timothy S. HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Chief Administrative Officer Humana Common 2021-02-19 4 M 0 6146 0 A 13068 D Humana Common 2021-02-19 4 F 0 2450 377.415 D 10618 D Humana Common 2021-02-22 4 M 0 372 268.47 A 10990 D Humana Common 2021-02-22 4 F 0 265 377.415 D 10725 D Humana Common 2021-02-22 4 S 0 3696 377.9559 D 7029 D Options 268.47 2021-02-22 4 M 0 372 0 D 2025-02-19 Humana Common 372 1836 D Options 307.965 2026-02-25 Humana Common 4071 4071 D Options 350.7875 2027-02-24 Humana Common 6088 6088 D Options 376.61 2021-02-22 4 A 0 5003 0 A 2028-02-22 Humana Common 5003 5003 D Restricted Stock Units Humana Common 460 460 D Restricted Stock Units Humana Common 808 808 D Restricted Stock Units 2021-02-22 4 A 0 1216 0 A Humana Common 1216 1216 D Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/18, vesting in three increments from 02/19/19 to 02/19/21. Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/19, vesting in three increments from 02/25/20 to 02/25/22. 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 receive one share per restricted stock unit pursuant to the Company's 2011 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). 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 02/25/19, 33% of the award is vesting on 12/15/19, 12/15/20, and 12/15/21. 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. Includes Performance Stock Units that vested 2/19/21. Shares swapped for the payment of purchase price on stock option exercise using fair market value on February 19, 2021 pursuant to Humana Inc.'s 2011 Stock Incentive Plan. Shares sold at prices ranging from $377.87 to $378.02. Price reported is weighted avg sales price. Timothy S. Huval 2021-02-23