Form 4 for HUM Humana
Accepted 2022-11-07 00:00:00 ET · period of report 2022-11-03 · accession 0001062993-22-021636 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-11-07 | 2022-09-20 | HUM | BROUSSARD BRUCE D | Pres, CEO, Dir | G - Gift | $0.00 | -7,962 | 77.6K | -9% | $0 |
| DM | 2022-11-07 | 2022-11-03 | HUM | BROUSSARD BRUCE D | Pres, CEO, Dir | M - OptEx | $335.87 | +40.7K | 80.2K | +103% | +$13.67M |
| D | 2022-11-07 | 2022-11-03 | HUM | BROUSSARD BRUCE D | Pres, CEO, Dir | S - Sale+OE | $566.17 | -9,000 | 80.6K | -10% | -$5.10M |
| DM | 2022-11-07 | 2022-11-03 | HUM | BROUSSARD BRUCE D | Pres, CEO, Dir | F - Tax | $560.14 | -30.8K | 79.8K | -28% | -$17.25M |
| DM | 2022-11-07 | 2022-11-03 | HUM | BROUSSARD BRUCE D | Pres, CEO, Dir | M - OptEx | $0.00 | -40.7K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Humana Common | 2022-09-20 | G | D | 2,000 | $0.00 | 72,602 | D | — | — | (F15) Shares represent a charitable gift/donation, effective September 20, 2022, in which no value was received in return. |
| 2 | Common | Humana Common | 2022-09-20 | G | D | 2,981 | $0.00 | 74,602 | D | — | — | (F14) Shares transferred represent a gift to a Trust in the name of affiliate's daughter, effective September 20, 2022. Affiliate is not a Trustee and has no pecuniary interest or investment discretion. |
| 3 | Common | Humana Common | 2022-11-03 | M | A | 26,860 | $350.79 | 110,406 | D | — | — | |
| 4 | Common | Humana Common | 2022-09-20 | G | D | 2,981 | $0.00 | 77,583 | D | — | — | (F13) Shares transferred represent a gift to a Trust in the name of affiliate's son, effective September 20, 2022. Affiliate is not a Trustee and has no pecuniary interest or investment discretion. |
| 5 | Common | Humana Common | 2022-11-03 | S | D | 9,000 | $566.17 | 80,564 | D | — | — | (F12) Price reported is weighted average sales price. |
| 6 | Common | Humana Common | 2022-11-03 | F | D | 20,842 | $560.14 | 89,564 | D | — | — | (F11) Shares reported represent shares swapped in for the purchase price and taxes on options exercised, using FMV on 11/2/22 for computing shares swapped for purchase price and FMV on 11/3/22 for computing shares swapped for tax liability. |
| 7 | Common | Humana Common | 2022-11-03 | M | A | 372 | $268.47 | 80,021 | D | — | — | |
| 8 | Common | Humana Common | 2022-11-03 | F | D | 9,587 | $560.14 | 83,546 | D | — | — | (F11) Shares reported represent shares swapped in for the purchase price and taxes on options exercised, using FMV on 11/2/22 for computing shares swapped for purchase price and FMV on 11/3/22 for computing shares swapped for tax liability. |
| 9 | Common | Humana Common | 2022-11-03 | M | A | 13,146 | $307.97 | 93,133 | D | — | — | |
| 10 | Common | Humana Common | 2022-11-03 | F | D | 179 | $560.14 | 79,987 | D | — | — | (F10) Shares reported represent shares swapped in for the purchase price of options exercised, using the FMV on 11/2/22. |
| 11 | Common | Humana Common | 2022-11-03 | M | A | 324 | $307.97 | 80,166 | D | — | — | |
| 12 | Common | Humana Common | 2022-11-03 | F | D | 179 | $560.14 | 79,842 | D | — | — | (F10) Shares reported represent shares swapped in for the purchase price of options exercised, using the FMV on 11/2/22. |
| 13 | Derivative | Options | 2022-11-03 | M | D | 372 | $0.00 | 0 | D | $268.47 · — to 2025-02-19 | 372 Humana Common | (F1) Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/19/2018, vesting in three annual increments. |
| 14 | Derivative | Options | 2022-11-03 | M | D | 26,860 | $0.00 | 13,430 | D | $350.79 · — to 2027-02-24 | 26,860 Humana Common | (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 02/24/2020, vesting in three annual increments. |
| 15 | Derivative | Options | 2022-11-03 | M | D | 13,470 | $0.00 | 0 | D | $307.97 · — to 2026-02-25 | 13,470 Humana Common | (F2) Right to buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/25/2019, vesting in three annual increments. |