Zipperle Cynthia H 4
4 · HUMANA INC · Filed Mar 26, 2021
Insider Transaction Report
Form 4
HUMANA INCHUM
Zipperle Cynthia H
Vice President, CAO,Controller
Transactions
- Other
Phantom Stock Units
2021-03-25$416.45/sh+9$3,748→ 291 total(indirect: See Footnote)→ Humana Common (9 underlying)
Holdings
- 476
Restricted Stock Units
→ Humana Common (476 underlying) - 898(indirect: See Footnote)
Humana Common
- 271
Restricted Stock Units
→ Humana Common (271 underlying) - 615
Restricted Stock Units
→ Humana Common (615 underlying) - 4,447
Humana Common
Footnotes (7)
- [F1]Shares held for the benefit of reporting person as of February 28, 2021under 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).
- [F2]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).
- [F3]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).
- [F4]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.
- [F5]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.
- [F6]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.
- [F7]Phantom Stock Units held for the benefit of reporting person as of March 25, 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.