AI assistant
HUMANA INC — Director's Dealing 2003
Oct 3, 2003
30145_dirs_2003-10-03_72467311-1b4a-4485-b9a8-9a7e912e3de1.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2003-10-01
Reporting Person: LERNER IRWIN (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2003-10-01 | Humana Common | M | 15000 | $14.4375 | Acquired | 41835 | Direct |
| 2003-10-02 | Humana Common | S | 15000 | $18.5047 | Disposed | 26835 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2003-10-01 | Options | $14.4375 | M | 15000 | Disposed | 2003-11-03 | Humana Common (0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 1000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $22.4375 | 2005-01-03 | Humana Common (5000) | 5000 | Direct |
| Options | $26.9375 | 2006-01-02 | Humana Common (5000) | 5000 | Direct |
| Options | $18.9375 | 2007-01-02 | Humana Common (5000) | 5000 | Direct |
| Options | $21.25 | 2008-01-02 | Humana Common (5000) | 5000 | Direct |
| Options | $18.7813 | 2009-01-04 | Humana Common (5000) | 5000 | Direct |
| Options | $7.875 | 2010-01-02 | Humana Common (5000) | 5000 | Direct |
| Options | $14.7813 | 2011-01-02 | Humana Common (5000) | 5000 | Direct |
| Options | $11.55 | 2012-01-02 | Humana Common (5000) | 5000 | Direct |
| Options | $10.19 | 2013-01-02 | Humana Common (5000) | 5000 | Direct |
Footnotes
F1: Each share of Common Stock contains a Right adopted on March 5, 1987, pursuant to the Company Rights Agreement, as amended and restated on February 14, 1996, and amended as of May 27, 1998 and March 1, 1999, which entitles holders of the Company's Common Stock, in the event certain specified events occur, to acquire 1/100 of a share of Series A Participating Preferred Stock at a price of $145 per fractional share.
F2: Shares held by reporting person's spouse.
F3: Right to buy pursuant to Humana Inc.'s 1989 Stock Option Plan for Non-Employee Directors.
F4: Right to buy pursuant to Humana Inc.'s 1996 Incentive Stock Option Plan.
F5: Shares were sold at prices ranging from $18.48 - $18.53, with an average price of $18.5047.