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Katz Karen – ‘4’ for 9/20/20 re: Humana Inc.

On:  Tuesday, 9/22/20, at 9:43am ET   ·   For:  9/20/20   ·   Accession #:  49071-20-124   ·   File #:  1-05975

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

 9/22/20  Katz Karen                        4                      1:8K   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:  9/20/20
Issuer:
Issuer CIK:  49071
Issuer Name:  HUMANA INC
Issuer Trading Symbol:  HUM
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1157619
Owner Name:  KATZ KAREN
Reporting Owner Address:
Owner Street 1:  HUMANA INC.
Owner Street 2:  500 W. MAIN STREET
Owner City:  LOUISVILLE
Owner State:  KY
Owner ZIP Code:  40202
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  No
Is Ten Percent Owner?  No
Is Other?  No
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Humana Common
Transaction Date:
Value:  9/20/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  590
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  590
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Restricted Stock Units
Footnote ID:  F1
Conversion or Exercise Price:
Footnote ID:  F1
Transaction Date:
Value:  9/20/20
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  590
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F2
Expiration Date:
Footnote ID:  F2
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  590
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:  F3
Conversion or Exercise Price:
Footnote ID:  F3
Exercise Date:
Footnote ID:  F3
Expiration Date:
Footnote ID:  F3
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  164
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  164
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Derivative Holding:
Security Title:
Value:  Restricted Stock Units
Footnote ID:  F1
Conversion or Exercise Price:
Footnote ID:  F1
Exercise Date:
Footnote ID:  F4
Expiration Date:
Footnote ID:  F4
Underlying Security:
Underlying Security Title:
Value:  Humana Common
Underlying Security Shares:
Value:  453
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  453
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Nature of Ownership:
Value:
Footnotes:
Footnote - F1:  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 - F2:  Initial award of $165,000 worth of restricted stock units pursuant to the annual Director's Fee Program. 100% of the award will vest on 9/20/20 and forfeited in its entirety if service is less than one year.
Footnote - F3:  Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
Footnote - F4:  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) under Company's 2019 Amended & Restated Plan.100% of the award is vesting on 12/31/20.
Remarks:
Owner Signature:
Signature Name:  Karen W. Katz
Signature Date:  9/22/20


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Filing Submission 0000049071-20-000124   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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