0001062993-21-013075.txt : 20211217 0001062993-21-013075.hdr.sgml : 20211217 20211217105419 ACCESSION NUMBER: 0001062993-21-013075 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: Cox Heather CENTRAL INDEX KEY: 0001734706 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 211500119 MAIL ADDRESS: STREET 1: 804 CARNEGIE CENTER CITY: PRINCETON STATE: NJ ZIP: 08540 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 0001734706 Cox Heather HUMANA INC. 500 W. MAIN ST. LOUISVILLE KY 40202 0 1 0 0 Chief Dig Health & Analyt Off. Humana Common 2021-12-15 4 M 0 406 0 A 3011 D Humana Common 2021-12-15 4 F 0 160 459.85 D 2851 D Humana Common 2021-12-15 4 M 0 356 0 A 3207 D Humana Common 2021-12-15 4 F 0 141 459.85 D 3066 D Humana Common 2021-12-15 4 M 0 328 0 A 3394 D Humana Common 2021-12-15 4 F 0 130 459.85 D 3264 D Humana Common 380 I See Footnote Options 332.675 2025-09-01 Humana Common 10155 10155 D Options 307.965 2026-02-25 Humana Common 5388 5388 D Options 350.7875 2027-02-24 Humana Common 5372 5372 D Options 376.61 2028-02-22 Humana Common 4057 4057 D Restricted Stock Units 2021-12-15 4 M 0 406 0 D Humana Common 406 0 D Restricted Stock Units 2021-12-15 4 M 0 356 0 D Humana Common 356 357 D Restricted Stock Units 2021-12-15 4 M 0 328 0 D Humana Common 328 658 D Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive & Non-Qualified stock options granted to reporting person on 9/1/2018, vesting in three increments from 9/1/19 to 9/1/21. Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive & Non-Qualified stock options granted to reporting person on 2/25/2019, 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 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 2/25/2019, 33% of the award is vesting on 12/15/2019, 12/15/2020 and 12/15/2021. 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. Shares owned by spouse in an Individual Retirement Account. Heather Cox 2021-12-17