Initial Statement of Beneficial Ownership (3)
01 Februar 2023 - 4:35PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Renaudin George II |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/1/2023
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3. Issuer Name and Ticker or Trading Symbol
HUMANA INC [HUM]
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(Last)
(First)
(Middle)
HUMANA INC., 500 W. MAIN STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) President, Medicare & Medicaid / |
(Street)
LOUISVILLE, KY 40202
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Humana Common | 0 | D | |
Humana Common | 1364 | I | See Footnote (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (2) | (3) | (3) | Humana Common | 241 | $0 | D | |
Restricted Stock Units (2) | (4) | (4) | Humana Common | 1241 | $0 | D | |
Restricted Stock Units (2) | (5) | (5) | Humana Common | 459 | $0 | D | |
Restricted Stock Units (2) | (6) | (6) | Humana Common | 609 | $0 | D | |
Phantom Stock Units (7) | (7) | (7) | Humana Common | 418 | $0 | I | See Footnote (7) |
Explanation of Responses: |
(1) | Shares held for the benefit of reporting person as of January 23, 2023 under 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). |
(2) | 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). |
(3) | Restricted stock units granted to reporting person on 2/22/2021, 33% of the award is vesting on 12/15/21, 12/15/22, and 12/15/23. Amount reported is what remains unvested. |
(4) | Restricted stock units granted to reporting person on 9/1/2021, 100% of the award is vesting on 9/1/2024. |
(5) | Restricted stock units granted to reporting person on 2/21/2022, 33% of the award is vesting on 12/15/22, 12/15/23, and 12/15/24. Amount reported is what remains unvested. |
(6) | Restricted stock units granted to reporting person on 10/1/2022, 100% of the award is vesting on 10/1/2025. |
(7) | Phantom Stock Units held for the benefit of reporting person as of January 23, 2023 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Renaudin George II HUMANA INC. 500 W. MAIN STREET LOUISVILLE, KY 40202 |
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| President, Medicare & Medicaid |
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Signatures
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George Renaudin II | | 2/1/2023 |
**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 5(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 control number. |
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