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HUMANA INC — Director's Dealing 2007
Aug 14, 2007
30145_dirs_2007-08-14_9a82d42a-dbef-4994-9a2f-97fe9301a52b.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: 2007-08-13
Reporting Person: MARGULIS HEIDI S (Senior V.P.-Gov. Relations)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-08-13 | Humana Common | M | 1905 | $53.96 | Acquired | 27846 | Direct |
| 2007-08-13 | Humana Common | M | 8934 | $32.70 | Acquired | 36780 | Direct |
| 2007-08-13 | Humana Common | M | 900 | $21.275 | Acquired | 37680 | Direct |
| 2007-08-13 | Humana Common | M | 10000 | $9.26 | Acquired | 47680 | Direct |
| 2007-08-13 | Humana Common | M | 15000 | $9.5938 | Acquired | 62680 | Direct |
| 2007-08-13 | Humana Common | M | 10000 | $19.25 | Acquired | 72680 | Direct |
| 2007-08-13 | Humana Common | M | 14790 | $15.5938 | Acquired | 87470 | Direct |
| 2007-08-13 | Humana Common | S | 300 | $63.16 | Disposed | 87170 | Direct |
| 2007-08-13 | Humana Common | S | 2200 | $63.19 | Disposed | 84970 | Direct |
| 2007-08-13 | Humana Common | S | 400 | $63.20 | Disposed | 84570 | Direct |
| 2007-08-13 | Humana Common | S | 100 | $63.21 | Disposed | 84470 | Direct |
| 2007-08-13 | Humana Common | S | 1500 | $63.22 | Disposed | 82970 | Direct |
| 2007-08-13 | Humana Common | S | 700 | $63.23 | Disposed | 82270 | Direct |
| 2007-08-13 | Humana Common | S | 1400 | $63.25 | Disposed | 80870 | Direct |
| 2007-08-13 | Humana Common | S | 4200 | $63.26 | Disposed | 76670 | Direct |
| 2007-08-13 | Humana Common | S | 300 | $63.27 | Disposed | 76370 | Direct |
| 2007-08-13 | Humana Common | S | 400 | $63.28 | Disposed | 75970 | Direct |
| 2007-08-13 | Humana Common | S | 700 | $63.29 | Disposed | 75270 | Direct |
| 2007-08-13 | Humana Common | S | 200 | $63.30 | Disposed | 75070 | Direct |
| 2007-08-13 | Humana Common | S | 500 | $63.31 | Disposed | 74570 | Direct |
| 2007-08-13 | Humana Common | S | 4300 | $63.32 | Disposed | 70270 | Direct |
| 2007-08-13 | Humana Common | S | 100 | $63.33 | Disposed | 70170 | Direct |
| 2007-08-13 | Humana Common | S | 100 | $63.34 | Disposed | 70070 | Direct |
| 2007-08-13 | Humana Common | S | 200 | $63.35 | Disposed | 69870 | Direct |
| 2007-08-13 | Humana Common | S | 1200 | $63.38 | Disposed | 68670 | Direct |
| 2007-08-13 | Humana Common | S | 42729 | — | Disposed | 25941 | Direct |
| 2007-08-13 | Humana Common | M | 14100 | $21.275 | Disposed | 40041 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-08-13 | Options | $15.5938 | M | 8700 | Disposed | 2008-01-15 | Humana Common (8700) | Direct |
| 2007-08-13 | Options | $15.5938 | M | 6090 | Disposed | 2008-09-17 | Humana Common (6090) | Direct |
| 2007-08-13 | Options | $19.25 | M | 10000 | Disposed | 2009-01-15 | Humana Common (10000) | Direct |
| 2007-08-13 | Options | $9.5938 | M | 15000 | Disposed | 2009-09-09 | Humana Common (15000) | Direct |
| 2007-08-13 | Options | $32.70 | M | 8934 | Disposed | 2012-02-24 | Humana Common (8934) | Direct |
| 2007-08-13 | Options | $9.26 | M | 10000 | Disposed | 2013-03-13 | Humana Common (10000) | Direct |
| 2007-08-13 | Options | $21.275 | M | 15000 | Disposed | 2014-02-24 | Humana Common (15000) | Direct |
| 2007-08-13 | Options | $53.96 | M | 1905 | Disposed | 2013-02-23 | Humana Common (1905) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 6641 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $62.10 | 2014-02-22 | Humana Common (4758) | 4758 | Direct |
| Phantom Stock Units | $ | Humana Common (345) | 345 | Indirect |
Footnotes
F1: Stock units held for reporting person's benefit 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: Reporting person sold additional shares as follows: 200 shares @ $63.39; 700 shares @ 63.40; 3900 shares @ 63.41; 2600 shares @ 63.42; 400 shares @ 63.44; 2700 shares @ 63.45; 2900 shares @ 63.46; 4700 shares @ 63.47; 2300 shares @ 63.48; 100 shares @ 63.50; 100 shares @ 63.52; 400 shares @ 63.54; 200 shares @ 63.57; 1100 shares @ 63.60; 300 shares @ 63.61; 1800 shares @ 63.63; 200 shares @ 63.64; 200 shares @ 63.65; 200 shares @ 63.66; 500 shares @ 63.67; 3800 shares @ 63.68; 100 shares @ 63.69; 3600 shares @ 63.70; 300 shares @ 63.71; 100 shares @ 63.72; 300 shares @ 63.73; 900 shares @ 63.74; 900 shares @ 63.75; 3900 shares @ 63.76; 1600 shares @ 63.77; 1000 shares @ 63.79; 300 shares @ 63.80; 100 shares @ 63.81; and 329 shares @ 64.02.
F3: Right to buy pursuant to Humana Inc.'s 1996 Stock Incentive Plan for Employees.
F4: Stock Options granted to reporting person on 3/13/03 vesting in thirds from 3/13/04 to 3/13/06.
F5: Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan.
F6: Non-Qualified and Incentive Stock Options granted to reporting person on 2/24/04, vesting in three increments from 2/24/05 to 2/24/07.
F7: 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.
F8: 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.
F9: 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.
F10: Phantom Stock Units held for the benefit of reporting person as of July 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).