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HUMANA INC — Director's Dealing 2012
Nov 14, 2012
30145_dirs_2012-11-14_4ceb7988-4bac-435b-8928-db6e9b2d95ae.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: 2012-11-12
Reporting Person: JONES DAVID A JR/KY (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-12 | Humana Common | G | 7001 | — | Disposed | 168325 | Direct |
| 2012-11-12 | Humana Common | G | 7001 | — | Acquired | 28573 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 1300 | Indirect |
| Humana Common | 1300 | Indirect |
| Humana Common | 300 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $23.05 | 2014-01-02 | Humana Common (2500) | 2500 | Direct |
| Stock Units | $ | Humana Common (5022) | 5022 | Direct | |
| Stock Units | $ | Humana Common (95) | 95 | Direct |
Footnotes
F1: Shares held by spouse as custodian for daughter.
F2: Shares held by spouse as custodian for son.
F3: Shares held in an Individual Retirement Account.
F4: Shares held by spouse.
F5: Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan.
F6: Director's cash fee elected to be converted into stock units, deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
F7: Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).