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HUMANA INC — Director's Dealing 2007
Mar 15, 2007
30145_dirs_2007-03-15_892f280f-447c-41f1-bdef-6925677698ee.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: 2007-03-14
Reporting Person: BLOEM JAMES H (Sr. VP, CFO & Treasurer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-03-14 | Humana Common | M | 65300 | $21.275 | Acquired | 174770 | Direct |
| 2007-03-14 | Humana Common | M | 53334 | $32.70 | Acquired | 228104 | Direct |
| 2007-03-14 | Humana Common | F | 23417 | $59.325 | Disposed | 204687 | Direct |
| 2007-03-14 | Humana Common | F | 58287 | $58.77 | Disposed | 146400 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-03-14 | Options | $32.70 | M | 53334 | Disposed | 2012-02-24 | Humana Common (53334) | Direct |
| 2007-03-14 | Options | $21.275 | M | 65300 | Disposed | 2014-02-24 | Humana Common (65300) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 1620 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $53.96 | 2013-02-23 | Humana Common (58245) | 58245 | Direct |
| Options | $62.10 | 2014-02-22 | Humana Common (45415) | 45415 | Direct |
Footnotes
F1: Shares held for reporting person's benefit as of February 28, 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: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F4: 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.
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.