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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

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/05/20  Deshpande Samir                   4                      1:13K  Humana Inc.                       Humana Inc.

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

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- edgar.xml/3.6


        

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

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  8/3/20
Issuer:
Issuer CIK:  49071
Issuer Name:  HUMANA INC
Issuer Trading Symbol:  HUM
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1712481
Owner Name:  Deshpande Samir
Reporting Owner Address:
Owner Street 1:  500 WEST MAIN STREET
Owner Street 2:
Owner City:  LOUISVILLE
Owner State:  KY
Owner ZIP Code:  40202
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  Yes
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:  Chief Tech & Risk Officer
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Humana Common
Transaction Date:
Value:  8/3/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  1,358
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  3,881
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Non-Derivative Transaction:
Security Title:
Value:  Humana Common
Transaction Date:
Value:  8/3/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  F
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  545
Transaction Price Per Share:
Value:  391.73
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  3,336
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Table:
Derivative Holding:
Security Title:
Value:  Options
Footnote ID:  F1
Conversion or Exercise Price:
Value:  268.47
Exercise Date:
Footnote ID:  F1
Expiration Date:
Value:  2/19/25
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  4,014
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  4,014
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Options
Footnote ID:  F2
Conversion or Exercise Price:
Value:  307.965
Exercise Date:
Footnote ID:  F2
Expiration Date:
Value:  2/25/26
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  5,388
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  5,388
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Options
Footnote ID:  F3
Conversion or Exercise Price:
Value:  350.7875
Exercise Date:
Footnote ID:  F3
Expiration Date:
Value:  2/24/27
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  5,730
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  5,730
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Transaction:
Security Title:
Value:  Restricted Stock Units
Footnote ID:  F4
Conversion or Exercise Price:
Footnote ID:  F4
Transaction Date:
Value:  8/3/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  1,358
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F6
Expiration Date:
Footnote ID:  F6
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  1,358
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Restricted Stock Units
Footnote ID:  F4
Conversion or Exercise Price:
Footnote ID:  F4
Exercise Date:
Footnote ID:  F7
Expiration Date:
Footnote ID:  F7
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  311
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  311
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Restricted Stock Units
Footnote ID:  F4
Conversion or Exercise Price:
Footnote ID:  F4
Exercise Date:
Footnote ID:  F8
Expiration Date:
Footnote ID:  F8
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  812
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  812
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Restricted Stock Units
Footnote ID:  F5
Conversion or Exercise Price:
Footnote ID:  F5
Exercise Date:
Footnote ID:  F9
Expiration Date:
Footnote ID:  F9
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  1,140
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,140
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Footnotes:
Footnote - F1:  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.
Footnote - F2:  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.
Footnote - F3:  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.
Footnote - F4:  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).
Footnote - F5:  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).
Footnote - F6:  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.
Footnote - F7:  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.
Footnote - F8:  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.
Footnote - F9:  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:
Owner Signature:
Signature Name:  Samir M. Deshpande
Signature Date:  8/5/20


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