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HUMANA INC — Director's Dealing 2013
Aug 9, 2013
30145_dirs_2013-08-09_daa0fbc4-3ec4-4bd5-a791-532797b363d0.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: 2013-08-08
Reporting Person: McCulley Steven E (Vice President & Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-08 | Humana Common | S | 10000 | $92.5362 | Disposed | 9327 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 695 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $72.84 | 2020-02-20 | Humana Common (4576) | 4576 | Direct |
| Restricted Stock Units | $ | Humana Common (8990) | 8990 | Direct | |
| Restricted Stock Units | $ | Humana Common (5076) | 5076 | Direct | |
| Restricted Stock Units | $ | Humana Common (1510) | 1510 | Direct | |
| Phantom Stock Units | $ | Humana Common (7) | 7 | Indirect |
Footnotes
F1: Stock units held for the benefit of reporting person as of July 31, 2013 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: Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16.
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 2/17/11, 100% of the award is vesting on 2/17/14.
F8: Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
F9: Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
F10: Phantom Stock Units held for the benefit of reporting person as of July 31, 2013 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan.