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HUMANA INC — Director's Dealing 2011
Aug 22, 2011
30145_dirs_2011-08-22_4c924496-be13-4d4e-81ad-b82d2c642d74.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2011-08-17
Reporting Person: LeClaire Brian P. (SVP & Chief Service & Info Off)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 3269 | Direct |
| Humana Common | 133 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $45.975 | 2015-04-01 | Humana Common (23706) | Direct | |
| Options | $41.83 | 2016-02-19 | Humana Common (5818) | Direct | |
| Restricted Stock Units | $.1667 | Humana Common (3772) | Direct | ||
| Restricted Stock Units | $.1667 | Humana Common (6048) | Direct | ||
| Restricted Stock Units | $.1667 | Humana Common (5475) | Direct | ||
| Phantom Stock Units | $ | Humana Common (164) | Indirect |
Footnotes
F1: Shares held for the benefit of reporting person as of July 29, 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 the Humana's 2003 Stock Incentive Plan.
F3: Non-Qualified stock options granted to reporting person on 4/1/08, vesting in three increments from 4/1/11 to 4/1/13.
F4: Non-qualified stock options granted to reporting person on 2/19/09, vesting 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: Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
F7: 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).
F8: Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
F9: Restricted stock units granted to reporting person on 6/29/11, 100% of the award is vesting on 6/29/14.
F10: Phantom Stock Units held for the benefit of reporting person as of July 29, 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).