0001062993-21-013083.txt : 20211217
0001062993-21-013083.hdr.sgml : 20211217
20211217112249
ACCESSION NUMBER: 0001062993-21-013083
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: Diamond Susan M
CENTRAL INDEX KEY: 0001782445
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 211500220
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
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0306
4
2021-12-15
0000049071
HUMANA INC
HUM
0001782445
Diamond Susan M
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Chief Financial Officer
Humana Common
2021-12-15
4
M
0
282
0
A
2667
D
Humana Common
2021-12-15
4
F
0
132
459.85
D
2535
D
Humana Common
2021-12-15
4
M
0
285
0
A
2820
D
Humana Common
2021-12-15
4
F
0
133
459.85
D
2687
D
Humana Common
2021-12-15
4
M
0
366
0
A
3053
D
Humana Common
2021-12-15
4
F
0
171
459.85
D
2882
D
Humana Common
2134
I
See Footnote
Options
350.7875
2027-02-24
Humana Common
4298
4298
D
Options
376.61
2028-02-22
Humana Common
4524
4524
D
Options
428.6767
2028-08-01
Humana Common
3793
3793
D
Restricted Stock Units
2021-12-15
4
M
0
282
0
D
Humana Common
282
0
D
Restricted Stock Units
Humana Common
1023
1023
D
Restricted Stock Units
Humana Common
291
291
D
Restricted Stock Units
2021-12-15
4
M
0
285
0
D
Humana Common
285
285
D
Restricted Stock Units
2021-12-15
4
M
0
366
0
D
Humana Common
366
733
D
Restricted Stock Units
Humana Common
933
933
D
Phantom Stock Units
Humana Common
319
319
I
See Footnote.
Shares held for the benefit of the 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).
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 buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 8/1/2021, vesting in three annual increments from 8/1/22 to 8/1/24.
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 06/01/19, 100% of the award is vesting on 6/1/22.
Restricted stock units granted to reporting person on 07/01/19, 33% of the award is vesting on 07/01/20, 07/01/21, and 07/01/22.
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.
Restricted stock units granted to reporting person on 08/1/2021, 33% of the award is vesting on 8/1/22, 8/1/23, and 8/1/24.
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.
Susan M. Diamond
2021-12-17