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HUMANA INC — Director's Dealing 2012
Oct 26, 2012
30145_dirs_2012-10-26_1586611e-901d-4064-a6e5-62ca5c1e2591.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2012-10-18
Reporting Person: Bierbower Elizabeth D (Segment Pres., Employer Group)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 6100 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $21.275 | 2014-02-24 | Humana Common (18000) | Direct | |
| Options | $62.10 | 2014-02-22 | Humana Common (4605) | Direct | |
| Options | $69.475 | 2015-02-21 | Humana Common (6063) | Direct | |
| Options | $45.975 | 2015-04-01 | Humana Common (17673) | Direct | |
| Options | $41.83 | 2016-02-19 | Humana Common (6981) | Direct | |
| Options | $79.655 | 2019-06-20 | Humana Common (5411) | Direct | |
| Restricted Stock Units | $.1667 | Humana Common (2694) | Direct | ||
| Restricted Stock Units | $.1667 | Humana Common (2860) | Direct | ||
| Restricted Stock Units | $0 | Humana Common (1692) | Direct | ||
| Restricted Stock Units | $0 | Humana Common (1883) | Direct |
Footnotes
F1: Right to buy pursuant to the Humana's 2003 Stock Incentive Plan.
F2: Non-Qualified stock options granted to reporting person on 2/24/04, 100% vested.
F3: Non-Qualified stock options granted to reporting person on 2/22/07, 100% vested.
F4: Non-Qualified stock options granted to reporting person on 2/21/08, 100% vested.
F5: Non-Qualified stock options granted to reporting person on 4/1/08, vesting in three increments from 4/1/11 to 4/1/13.
F6: Non-Qualified stock options granted to reporting person on 2/19/09, 100% vested.
F7: Non-Qualified stock options granted to reporting person on 6/20/12, vesting in three increments from 6/20/13 to 6/20/15.
F8: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F9: Right to receive one share per restricted stock unit pursuant to the Company's 2011 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: Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
F14: Restricted stock units granted to reporting person on 6/20/12, 100% of the award is vesting on 6/20/15.