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HUMANA INC — Director's Dealing 2011
Feb 22, 2011
30145_dirs_2011-02-22_790c210e-01f1-4af6-a2fb-ee95b07a5b6a.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: 2011-02-21
Reporting Person: McCulley Steven E (Vice President & Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-02-21 | Humana Common | F | 784 | $61.28 | Disposed | 24311 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 692 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $32.70 | 2012-02-24 | Humana Common (11784) | 11784 | Direct |
| Options | $53.96 | 2013-02-23 | Humana Common (7709) | 7709 | Direct |
| Options | $62.10 | 2014-02-22 | Humana Common (8110) | 8110 | Direct |
| Options | $69.475 | 2015-02-21 | Humana Common (6839) | 6839 | Direct |
| Options | $45.975 | 2015-04-01 | Humana Common (20992) | 20992 | Direct |
| Options | $41.83 | 2016-02-19 | Humana Common (9998) | 9998 | Direct |
| Restricted Stock Units | $ | Humana Common (3879) | 3879 | Direct | |
| Restricted Stock Units | $ | Humana Common (8990) | 8990 | Direct | |
| Phantom Stock Units | $ | Humana Common (7) | 7 | Indirect |
Footnotes
F1: Stock units held for the benefit of reporting person as of January 31, 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 2/24/05, both vesting in three increments from 2/24/06 to 2/24/08.
F4: 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.
F5: 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.
F6: 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.
F7: Incentive and Non-Qualified stock options granted to reporting person on 4/1/08, NQ options vesting in three increments from 4/1/11 to 4/1/13, and ISO's vesting in two increments on 4/1/12 and 4/1/13.
F8: 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.
F9: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F10: 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).
F11: Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
F12: Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
F13: Phantom Stock Units held for the benefit of reporting person as of January 31, 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).