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HUMANA INC — Director's Dealing 2007
Aug 27, 2007
30145_dirs_2007-08-27_0222343e-c338-4305-8f97-c8aa80bfaa43.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: 2007-08-24
Reporting Person: McCulley Steven E (Vice President & Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-08-24 | Humana Inc. | M | 15000 | $21.275 | Acquired | 35518 | Direct |
| 2007-08-24 | Humana Inc. | S | 15000 | $65.2763 | Disposed | 20518 | Direct |
| 2007-08-24 | Humana Inc. | M | 3058 | $32.70 | Acquired | 23576 | Direct |
| 2007-08-24 | Humana Inc. | F | 1536 | $65.095 | Disposed | 22040 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-08-24 | Options | $32.70 | M | 3058 | Disposed | 2012-02-24 | Humana Common (3058) | Direct |
| 2007-08-24 | Options | $21.275 | M | 15000 | Disposed | Humana Common (15000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Inc. | 686 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $53.96 | 2013-02-23 | Humana Common (7709) | 7709 | Direct |
| Options | $62.10 | 2014-02-22 | Humana Common (8110) | 8110 | Direct |
| Phantom Stock Units | $ | Humana Common (7) | 7 | Indirect |
Footnotes
F1: Stock units held for the benefit of reporting person as of July 31, 2007 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).
F2: Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan.
F3: Non-qualified stock options granted to reporting person on 2/24/04, vesting in three increments from 2/24/05 to 2/24/07.
F4: Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, both vesting in three increments from 2/24/06 to 2/24/08.
F5: 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.
F6: 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.
F7: Phantom Stock Units held for the benefit of reporting person as of Juy 31, 2007, based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan exempt under Rule 16b-3(c and d).