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HUMANA INC — Director's Dealing 2011
Feb 22, 2011
30145_dirs_2011-02-22_d0b1ab73-0ab3-4a1b-bd98-114cd41a42ca.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: 2011-02-17
Reporting Person: Christopher M Todoroff (Sr. VP and General Counsel)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-02-17 | Options | $61.18 | A | 22767 | Acquired | 2018-02-17 | Humana Common (22767) | Direct |
| 2011-02-17 | Restricted Stock Units | $ | A | 5149 | Acquired | Humana Common (5149) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 18500 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $45.98 | 2015-08-28 | Humana Common (45000) | 45000 | Direct |
| Options | $41.83 | 2016-02-19 | Humana Common (58052) | 58052 | Direct |
| Options | $29.53 | 2016-04-28 | Humana Common (35000) | 35000 | Direct |
| Options | $46.40 | 2017-02-18 | Humana Common (41545) | 41545 | 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.