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HUMANA INC — Director's Dealing 2012
Feb 23, 2012
30145_dirs_2012-02-23_83587c6f-1d16-47da-991a-810361510101.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: LISTON THOMAS J (Sr VP-Senior Products)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-19 | Humana Common | F | 1027 | $88.565 | Disposed | 99070 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 9828 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $45.975 | 2015-04-01 | Humana Common (11995) | 11995 | Direct |
| Options | $41.83 | 2016-02-19 | Humana Common (2688) | 2688 | Direct |
| Restricted Stock Units | $ | Humana Common (4095) | 4095 | Direct | |
| Restricted Stock Units | $ | Humana Common (5721) | 5721 | Direct |
Footnotes
F1: Shares 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 the Company's 2003 Stock Incentive Plan.
F3: 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.
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: Right to receive one share per restricted stock unit pursuant to the Company's 2003 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.