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HUMANA INC — Director's Dealing 2011
Aug 30, 2011
30145_dirs_2011-08-30_5fd124df-ff27-4535-b769-c0c54f022301.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: 2011-08-28
Reporting Person: Christopher M Todoroff (Sr. VP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-08-28 | Humana Common | F | 3786 | $71.00 | Disposed | 26307 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $45.98 | 2015-08-28 | Humana Common (15000) | 15000 | Direct |
| Options | $41.83 | 2016-02-19 | Humana Common (19351) | 19351 | Direct |
| Options | $29.53 | 2016-04-28 | Humana Common (23334) | 23334 | Direct |
| Options | $46.4 | 2017-02-18 | Humana Common (27697) | 27697 | Direct |
| Options | $61.18 | 2018-02-17 | Humana Common (22767) | 22767 | Direct |
| Restricted Stock Units | $ | Humana Common (5149) | 5149 | Direct |
Footnotes
F1: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F2: Incentive and Non-Qualified stock options granted to reporting person on 8/28/08 vesting in three increments from 8/28/09 to 8/28/2011.
F3: 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.
F4: Non-Qualified stock option grant vests in three increments from 4/28/10 to 4/28/12.
F5: 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 2/18/11 to 2/18/13.
F6: 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 2/17/12 to 2/17/14.
F7: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F8: 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).
F9: Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.