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HUMANA INC — Director's Dealing 2012
Feb 22, 2012
30145_dirs_2012-02-22_429fbc47-a2a4-4ecc-b91a-1542fdc4e80d.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: 2012-02-19
Reporting Person: McCulley Steven E (Vice President & Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-19 | Humana Common | F | 1308 | $88.565 | Disposed | 11732 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 685 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $45.975 | 2015-04-01 | Humana Common (13994) | 13994 | Direct |
| Options | $41.83 | 2016-02-19 | Humana Common (3333) | 3333 | Direct |
| Restricted Stock Units | $ | Humana Common (3879) | 3879 | Direct | |
| Restricted Stock Units | $ | Humana Common (8990) | 8990 | Direct | |
| Phantom Stock Units | $ | Humana Common (7) | 7 | 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: Incentive and Non-Qualified stock options granted to reporting person on 4/1/08, NQ options vesting in three increments from 4/1/11 to 4/1/13, and ISO's vesting in two increments on 4/1/12 and 4/1/13.
F5: 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).
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 2/19/10 to 2/19/12.
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: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.