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HUMANA INC — Director's Dealing 2007
Dec 26, 2007
30145_dirs_2007-12-26_5a07c618-f2a9-4da0-9097-f1d5da81cdf6.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2007-12-26
Reporting Person: HIPWELL ARTHUR P (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-12-26 | Humana Common | M | 50000 | $32.70 | Acquired | 202200 | Direct |
| 2007-12-26 | Humana Common | F | 20000 | $76.47 | Disposed | 182200 | Direct |
| 2007-12-26 | Humana Common | F | 12778 | $76.47 | Disposed | 169422 | Direct |
| 2007-12-26 | Humana Common | S | 37000 | — | Disposed | 132422 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-12-26 | Options | $32.70 | M | 50000 | Disposed | 2012-02-24 | Humana Common (50000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 1650 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $12.995 | 2012-03-13 | Humana Common (15585) | 15585 | Direct |
| Options | $9.26 | 2013-03-13 | Humana Common (10799) | 10799 | Direct |
| Options | $21.275 | 2014-02-24 | Humana Common (4700) | 4700 | Direct |
| Options | $53.96 | 2013-02-23 | Humana Common (47655) | 47655 | Direct |
| Options | $62.10 | 2014-02-22 | Humana Common (38062) | 38062 | Direct |
Footnotes
F1: Shares held on behalf of minor children.
F2: Reporting person sold a total of 37,000 shares at the following prices: 600 @ $76.30; 400 @ $76.31; 800 @ $76.32; 200 @ $76.33; 1,100 @ $76.35; 300 @ $76.37; 3,600 @ $76.38; 200 @ $76.39; 2,100 @ $76.40; 4,100 @ $76.41; 1,200 @ $76.42; 4,800 @ $76.43; 500 @ $76.44; 16,900 @ $76.45; 100 @ $76.47; 100 @ $76.49.
F3: Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees.
F4: Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, vesting in three increments each from 3/13/03 to 3/13/05.
F5: Incentive and Non-Qualified stock options granted to reporting person on 3/13/03, NQ options vesting in three increments from 3/13/04 to 3/13/06, and ISO's vesting on 3/13/06.
F6: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F7: Incentive and Non-Qualified stock options granted to reporting person on 2/24/04, NQ options vesting in three increments from 2/24/05 to 2/24/07, and ISO's vesting on 2/24/07.
F8: Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, NQ options vesting in three increments from 2/24/06 to 2/24/08, and ISO's vesting on 2/24/08.
F9: Incentive and Non-Qualified stock options granted to reporting person on 2/23/06, NQ options vesting in three increments from 2/23/07 to 2/23/09, and ISO's vesting on 2/23/09.
F10: Incentive and Non-Qualified stock options granted to reporting person on 2/22/07, NQ options vesting in three increments from 2/22/08 to 2/22/10, and ISO's vesting on 2/22/10.