SEC Info - Deshpande Samir - ‘4’ for 8/3/20 re: Humana Inc.

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Deshpande Samir

(Last)

(First)

(Middle)

500 WEST MAIN STREET

(Street)

LOUISVILLE

40202

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
HUMANA INC [ HUM ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Tech & Risk Officer

3. Date of Earliest Transaction (Month/Day/Year)
8/3/20

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Humana Common	8/3/20		M		1,358	A	$0	3,881	D
Humana Common	8/3/20		F		545	D	$391.73	3,336	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Options ⁽¹⁾	$268.47							⁽¹⁾	2/19/25	Humana Common	4,014		4,014	D
Options ⁽²⁾	$307.965							⁽²⁾	2/25/26	Humana Common	5,388		5,388	D
Options ⁽³⁾	$350.7875							⁽³⁾	2/24/27	Humana Common	5,730		5,730	D
Restricted Stock Units ⁽⁴⁾	⁽⁴⁾	8/3/20		M			1,358	⁽⁶⁾	⁽⁶⁾	Humana Common	1,358	$0	0	D
Restricted Stock Units ⁽⁴⁾	⁽⁴⁾							⁽⁷⁾	⁽⁷⁾	Humana Common	311		311	D
Restricted Stock Units ⁽⁴⁾	⁽⁴⁾							⁽⁸⁾	⁽⁸⁾	Humana Common	812		812	D
Restricted Stock Units ⁽⁵⁾	⁽⁵⁾							⁽⁹⁾	⁽⁹⁾	Humana Common	1,140		1,140	D

Explanation of Responses:

(1) Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/19/18, vesting in three increments from 2/19/19 to 2/19/21.

(2) Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/25/19, vesting in three increments from 2/25/20 to 2/25/22.

(3) Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/24/20, vesting in three annual increments from 2/24/21 to 2/24/23.

(4) 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).

(5) 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).

(6) Restricted stock units granted to reporting person on 8/3/17, 33% of the award is vesting on 8/3/18, 8/3/19 and 8/3/20.

(7) Restricted stock units granted to reporting person on 2/19/18, 33% of the award is vesting on 12/15/18, 12/15/19 and 12/15/20.

(8) 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.

(9) Restricted stock units granted to reporting person on 2/24/20, 33% of the award is vesting on 12/15/20, 12/15/21, and 12/15/22.

Remarks:

	Samir M. Deshpande	8/5/20
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

____________ Transaction Codes:
F	Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
M	Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

Deshpande Samir – ‘4’ for 8/3/20 re: Humana Inc.

On: Wednesday, 8/5/20, at 4:19pm ET · For: 8/3/20 · Accession #: 49071-20-107 · File #: 1-05975

Previous ‘4’: ‘4’ on 2/26/20 for 2/24/20 · Next: ‘4’ on 12/17/20 for 12/15/20 · Latest: ‘4’ on 2/23/24 for 2/21/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Deshpande Samir – ‘4’ for 8/3/20 re: Humana Inc.

On: Wednesday, 8/5/20, at 4:19pm ET · For: 8/3/20 · Accession #: 49071-20-107 · File #: 1-05975

Previous ‘4’: ‘4’ on 2/26/20 for 2/24/20 · Next: ‘4’ on 12/17/20 for 12/15/20 · Latest: ‘4’ on 2/23/24 for 2/21/24

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents