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HUMANA INC — Director's Dealing 2012
Oct 30, 2012
30145_dirs_2012-10-30_d464139f-58a4-465b-ad93-2b55efa0e86c.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: 2012-10-29
Reporting Person: PERKINS BRUCE D (Sgmnt Pres, Health&Well-Being)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-10-29 | Humana Common | F | 1313 | $74.935 | Disposed | 15988 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 265 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $79.655 | 2019-06-20 | Humana Common (5411) | 5411 | Direct |
| Restricted Stock Units | $.1667 | Humana Common (5927) | 5927 | Direct | |
| Restricted Stock Units | $.1667 | Humana Common (7355) | 7355 | Direct | |
| Restricted Stock Units | $0 | Humana Common (6768) | 6768 | Direct | |
| Restricted Stock Units | $0 | Humana Common (1883) | 1883 | Direct | |
| Phantom Stock Units | $ | Humana Common (356) | 356 | Indirect |
Footnotes
F1: Shares held for the benefit of reporting person as of September 30, 2012 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 Company's 2003 Stock Incentive Plan.
F3: Non-Qualified stock options granted to reporting person on 6/20/12, NQ options vesting in three increments from 6/20/13 to 6/20/15.
F4: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F5: Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan.
F6: 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).
F7: Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
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 2/23/12, 100% of the award is vesting on 2/23/15.
F10: Restricted stock units granted to reporting person on 6/20/12, 100% of the award is vesting on 6/20/15.
F11: Phantom Stock Units held for the benefit of reporting person as of September 30, 2012 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan. All transactions are exempt under Rule 16b-3(c and d).