AI assistant
HUMANA INC — Director's Dealing 2012
Feb 27, 2012
30145_dirs_2012-02-27_a61db127-44d9-4a70-a3bf-098f7d24933c.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: 2012-02-23
Reporting Person: BLOEM JAMES H (Sr. VP, CFO & Treasurer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-02-23 | Options | $88.6475 | A | 28436 | Acquired | 2019-02-23 | Humana Common (28436) | Direct |
| 2012-02-23 | Restricted Stock Units | $ | A | 5528 | Acquired | Humana Common (5528) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 28271 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $62.10 | 2014-02-22 | Humana Common (43805) | 43805 | Direct |
| Options | $69.475 | 2015-02-21 | Humana Common (47875) | 47875 | Direct |
| Options | $41.83 | 2016-02-19 | Humana Common (22576) | 22576 | Direct |
| Options | $46.40 | 2017-02-18 | Humana Common (24235) | 24235 | Direct |
| Options | $61.18 | 2018-02-17 | Humana Common (22767) | 22767 | Direct |
| Restricted Stock Units | $ | Humana Common (5149) | 5149 | Direct | |
| Restricted Stock Units | $ | Humana Common (17201) | 17201 | Direct |
Footnotes
F1: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F2: 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.
F3: 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.
F4: 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.
F5: 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.
F6: 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 2/17/12 to 2/17/14.
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 2/23/13 to 2/23/15.
F8: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F9: 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).
F10: Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
F11: Restricted stock units granted to reporting person on 11/7/11, 100% of the award is vesting on 11/7/13.
F12: Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.