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HUMANA INC — Director's Dealing 2011
Dec 5, 2011
30145_dirs_2011-12-05_64812818-4b8e-4ea0-a09d-c2f4d8ee4ba7.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: 2011-12-02
Reporting Person: MARGULIS HEIDI S (Senior V.P. - Public Affairs)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-12-02 | Humana Common | S | 11362 | $89.3203 | Disposed | 32616 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 6717 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $69.475 | 2015-02-21 | Humana Common (5130) | 5130 | Direct |
| Options | $41.83 | 2016-02-19 | Humana Common (2043) | 2043 | Direct |
| Restricted Stock Units | $ | Humana Common (4095) | 4095 | Direct | |
| Restricted Stock Units | $ | Humana Common (2355) | 2355 | Direct | |
| Phantom Stock Units | $ | Humana Common (350) | 350 | Indirect |
Footnotes
F1: Stock units held for reporting person's benefit as of November 30, 2011 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: Incentive and Non-Qualified stock options granted to reporting person on 2/21/08, NQ options vesting in three increments from 2/21/09 to 2/21/11, and ISO's vesting on 2/21/11.
F4: Reporting person was granted the maximum number of Incentive stock options allowed and remaining options were granted as Non-Qualified stock options. The option grant vests in three increments from 2/19/10 to 2/19/12.
F5: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F6: Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).
F7: Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
F8: Restricted stock units granted to reporting person on 5/5/11, 100% of the award is vesting on 5/5/14.
F9: Phantom Stock Units held for the benefit of reporting person as of November 30, 2011 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).