0000049071-21-000089.txt : 20210505 0000049071-21-000089.hdr.sgml : 20210505 20210505094445 ACCESSION NUMBER: 0000049071-21-000089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210503 FILED AS OF DATE: 20210505 DATE AS OF CHANGE: 20210505 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wheatley Timothy Alan CENTRAL INDEX KEY: 0001699799 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 21891532 MAIL ADDRESS: STREET 1: 500 WEST 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 2021-05-03 0000049071 HUMANA INC HUM 0001699799 Wheatley Timothy Alan HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Segment President, Retail Humana Common 2021-05-03 4 M 0 459 217.415 A 11494 D Humana Common 2021-05-03 4 M 0 1837 268.47 A 13331 D Humana Common 2021-05-03 4 M 0 928 271.14 A 14259 D Humana Common 2021-05-03 4 S 0 3224 450.5605 D 11035 D Humana Common 2021-05-03 4 S 0 5284 450.606 D 5751 D Humana Common 965 I See Footnote Options 217.415 2021-05-03 4 M 0 459 0 D 2024-03-08 Humana Common 459 459 D Options 268.47 2021-05-03 4 M 0 1837 0 D 2025-02-19 Humana Common 1837 372 D Options 271.14 2021-05-03 4 M 0 928 0 D 2025-02-19 Humana Common 928 0 D Options 307.965 2026-02-25 Humana Common 7902 7902 D Options 350.7875 2027-02-24 Humana Common 8595 8595 D Options 376.61 2028-02-22 Humana Common 6786 6786 D Restricted Stock Units Humana Common 596 596 D Restricted Stock Units Humana Common 1140 1140 D Restricted Stock Units Humana Common 1649 1649 D Phantom Stock Units Humana Common 150 150 I See Footnote Shares held for the benefit of reporting person as of April 30, 2021 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 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 03/08/2017. 12,998 options vesting in three annual increments, and 7,499 options fully vest three years from the date of grant. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three increments from 02/19/2019 to 02/19/2021. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three increments from 2/25/20 to 2/25/22. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 03/1/2018, vesting in three increments from 2/19/19 to 2/19/21. 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. Phantom Stock Units held for the benefit of reporting person as of April 30, 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. Shares reported represent weighted avg sales price. Timothy A. Wheatley 2021-05-05