0001062993-21-013071.txt : 20211217
0001062993-21-013071.hdr.sgml : 20211217
20211217104343
ACCESSION NUMBER: 0001062993-21-013071
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211215
FILED AS OF DATE: 20211217
DATE AS OF CHANGE: 20211217
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fleming William Kevin
CENTRAL INDEX KEY: 0001699801
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 211500034
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
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0306
4
2021-12-15
0000049071
HUMANA INC
HUM
0001699801
Fleming William Kevin
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Seg Pres, Pharmacy Sol & CCAO
Humana Common
2021-12-15
4
M
0
542
0
A
1355
D
Humana Common
2021-12-15
4
F
0
249
459.85
D
1106
D
Humana Common
2021-12-15
4
M
0
428
0
A
1534
D
Humana Common
2021-12-15
4
F
0
197
459.85
D
1337
D
Humana Common
2021-12-15
4
M
0
389
0
A
1726
D
Humana Common
2021-12-15
4
F
0
179
459.85
D
1547
D
Humana Common
4049
I
See Footnote
Humana Common
118
I
See Footnote
Options
307.965
2026-02-25
Humana Common
7184
7184
D
Options
350.7875
2027-02-24
Humana Common
6446
6446
D
Options
376.61
2028-02-22
Humana Common
4807
4807
D
Restricted Stock Units
2021-12-15
4
M
0
542
0
D
Humana Common
542
0
D
Restricted Stock Units
2021-12-15
4
M
0
428
0
D
Humana Common
428
428
D
Restricted Stock Units
2021-12-15
4
M
0
389
0
D
Humana Common
389
779
D
Phantom Stock Units
Humana Common
24
24
I
See Footnote
Shares held for the benefit of reporting person as of November 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).
4,049 shares transferred into the William K. Fleming Grantor Retained Annuity Trust (est. 7/2/2020) on September 15, 2021. Reporting person is the sole trustee of the GRAT.
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 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 2/22/2021, 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 2/25/19, 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 November 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.
William K. Fleming
2021-12-17