0000049071-21-000056.txt : 20210223 0000049071-21-000056.hdr.sgml : 20210223 20210223184241 ACCESSION NUMBER: 0000049071-21-000056 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: Zipperle Cynthia H CENTRAL INDEX KEY: 0001628102 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 21667487 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 edgar.xml PRIMARY DOCUMENT X0306 4 2021-02-19 0000049071 HUMANA INC HUM 0001628102 Zipperle Cynthia H HUMANA INC. 500 WEST MAIN ST LOUISVILLE KY 40202 0 1 0 0 SVP, Chief Acct Officer & Cont Humana Common 2021-02-19 4 M 0 1806 0 A 4520 D Humana Common 2021-02-19 4 F 0 572 377.415 D 3948 D Humana Common 2021-02-19 4 M 0 745 0 A 4693 D Humana Common 2021-02-19 4 F 0 246 377.415 D 4447 D Humana Common 894 I See Footnote Restricted Stock Units 2021-02-19 4 M 0 745 0 D Humana Common 745 0 D Restricted Stock Units Humana Common 271 271 D Restricted Stock Units Humana Common 476 476 D Restricted Stock Units 2021-02-22 4 A 0 615 0 A Humana Common 615 615 D Phantom Stock Units Humana Common 282 282 I See Footnote Shares held for the benefit of reporting person as of January 31, 2021under 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 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 02/19/18, 100% of the award is vesting on 02/19/21. 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. Phantom Stock Units held for the benefit of reporting person as of January 31, 2021 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. Includes Performance Stock Units that vested on 2/19/21. Cynthia H. Zipperle 2021-02-23