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HUMANA INC — Director's Dealing 2012
Oct 24, 2012
30145_dirs_2012-10-24_9987170d-7dd5-4072-8f64-d8391fd3c370.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: PERKINS BRUCE D (Sgmnt Pres, Health&Well-Being)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 17301 | Direct |
| Humana Common | 265 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $79.655 | 2019-06-20 | Humana Common (5411) | Direct | |
| Restricted Stock Units | $.1667 | Humana Common (5927) | Direct | ||
| Restricted Stock Units | $.1667 | Humana Common (7355) | Direct | ||
| Restricted Stock Units | $0 | Humana Common (6768) | Direct | ||
| Restricted Stock Units | $0 | Humana Common (1883) | Direct | ||
| Phantom Stock Units | $ | Humana Common (356) | Indirect |
Footnotes
F1: Stock units 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. All transactions are exempt under Rule 16b-3(c).
F2: Right to buy pursuant to the Humana's 2003 Stock Incentive Plan.
F3: Non-Qualified stock options granted to reporting person on 6/20/12, 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).