AI assistant
HUMANA INC — Director's Dealing 2011
Feb 4, 2011
30145_dirs_2011-02-04_3ab808a0-d593-49c1-83e0-a909994e4d86.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2011-02-02
Reporting Person: GOODMAN BRUCE J (Sr VP & Chief Serv. & Info. Of)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-02-02 | Humana Common | J | 5000 | $59.14 | Acquired | 33378 | Direct |
| 2011-02-02 | Humana Common | J | 5000 | $59.14 | Disposed | 0 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 128 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $53.96 | 2013-02-23 | Humana Common (47655) | 47655 | Direct |
| Options | $62.10 | 2014-02-22 | Humana Common (38062) | 38062 | Direct |
| Options | $69.475 | 2015-02-21 | Humana Common (41036) | 41036 | Direct |
| Options | $41.83 | 2016-02-19 | Humana Common (58052) | 58052 | Direct |
| Options | $46.40 | 2017-02-18 | Humana Common (25966) | 25966 | Direct |
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: Shares held in a GRAT with reporting person as trustee.
F3: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
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: 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.
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 2/18/11 to 2/18/13.