AI assistant
HUMANA INC — Director's Dealing 2012
Feb 22, 2012
30145_dirs_2012-02-22_13ac4488-b8c4-4cfe-acff-52ac1eb55804.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: 2012-02-19
Reporting Person: LeClaire Brian P. (SVP & Chief Service & Info Off)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-19 | Humana Common | F | 1093 | $88.565 | Disposed | 2176 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 130 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $45.975 | 2015-04-01 | Humana Common (23706) | 23706 | Direct |
| Options | $41.83 | 2016-02-19 | Humana Common (5818) | 5818 | Direct |
| Restricted Stock Units | $ | Humana Common (3772) | 3772 | Direct | |
| Restricted Stock Units | $ | Humana Common (6048) | 6048 | Direct | |
| Restricted Stock Units | $ | Humana Common (5475) | 5475 | Direct | |
| Phantom Stock Units | $ | Humana Common (60) | 60 | Indirect |
Footnotes
F1: Stock units held for the benefit of reporting person as of January 31, 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 Humana Inc.'s 2003 Stock Incentive Plan.
F3: 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).
F4: Non-Qualified stock options granted to reporting person on 4/1/08, vesting in three increments from 4/1/11 to 4/1/13.
F5: Non-qualified stock options granted to reporting person on 2/19/09, vesting in three increments from 2/19/10 to 2/19/12.
F6: Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
F7: Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
F8: Restricted stock units granted to reporting person on 6/29/11, 100% of the award is vesting on 6/29/14.
F9: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F10: Phantom Stock Units held for the benefit of reporting person as of January 31, 2012 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan exempt under Rule 16b-3(c and d).
F11: The Form 3 dated 8/17/2011 reported 164 units, which converts to approximately 60 shares. The number of shares has not changed since the Form 3 filing.