Amended Statement of Beneficial Ownership (3/a)
08 Februar 2023 - 09:26PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Renaudin George II |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/1/2023
|
3. Issuer Name and Ticker or Trading Symbol
HUMANA INC [HUM]
|
(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) 2/1/2023
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
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 | 474 | I (8) | See Footnote (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 | 148 (9) | $0 | I | See Footnote (7) |
Explanation of Responses: |
(1) | Shares held for the benefit of reporting person as of January 31, 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 31, 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. |
(8) | This form is being amended due to an administrative error that incorrectly reported the amount of indirect shares owned in Humana Retirement Savings Plan (see footnote 1). Shares reported on this form are correct as of 1/31/23. |
(9) | This form is being amended due to an administrative error that incorrectly reported the amount of indirect shares owned in Humana Retirement Equalization Plan (see footnote 7). Shares reported on this form are correct as of 1/31/23. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Renaudin George II HUMANA INC. 500 W. MAIN STREET LOUISVILLE, KY 40202 |
|
| President, Medicare & Medicaid |
|
Signatures
|
George Renaudin II | | 2/7/2023 |
**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. |
Humana (NYSE:HUM)
Historical Stock Chart
Von Feb 2024 bis Mär 2024
Humana (NYSE:HUM)
Historical Stock Chart
Von Mär 2023 bis Mär 2024