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HUMANA INC — Director's Dealing 2007
Jun 11, 2007
30145_dirs_2007-06-11_e07f06d5-deb4-4630-8c92-1b8564d4f238.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: 2007-06-07
Reporting Person: GOODMAN BRUCE J (Sr VP & Chief Serv. & Info. Of)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-06-07 | Humana Common | M | 5000 | $11.625 | Acquired | 82628 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-06-07 | Options | $11.625 | M | 5000 | Disposed | 2009-04-12 | Humana Common (5000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 127 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $32.70 | 2012-02-24 | Humana Common (45000) | 45000 | Direct |
| Options | $53.96 | 2013-02-23 | Humana Common (47655) | 47655 | Direct |
| Options | $62.10 | 2014-02-22 | Humana Common (38062) | 38062 | Direct |
| Phantom Stock Units | $ | Humana Common (6027) | 6027 | Direct |
Footnotes
F1: Stock units held for the benefit of reporting person as of May 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 the Company's 1996 Stock Incentive Plan for Employees.
F3: Incentive & Non-Qualified stock options granted to reporting person on 4/12/99, vesting in four increments each from 4/12/01 to 4/12/04.
F4: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F5: 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.
F6: 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.
F7: 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.
F8: Phantom Stock Units held for the benefit of reporting person as of May 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).