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HUMANA INC — Director's Dealing 2013
Aug 2, 2013
30145_dirs_2013-08-02_a160b77b-0c6a-4e27-8746-e9fb833b24f6.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: 2013-07-31
Reporting Person: Kusserow Paul B. K. (Former Sr VP)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 19347 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $61.18 | 2018-02-17 | Humana Common (7589) | 7589 | Direct |
| Options | $88.6475 | 2019-02-23 | Humana Common (24374) | 24374 | Direct |
| Options | $72.84 | 2020-02-20 | Humana Common (14041) | 14041 | Direct |
| Restricted Stock Units | $ | Humana Common (5149) | 5149 | Direct | |
| Restricted Stock Units | $ | Humana Common (4738) | 4738 | Direct | |
| Restricted Stock Units | $ | Humana Common (4633) | 4633 | Direct |
Footnotes
F1: Form 4 is being filed to notify that the reporting person is no longer an officer as of 07/31/2013, and is no longer subject to Section 16.
F2: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F3: 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.
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 2/23/13 to 2/23/15.
F5: 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.
F6: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F7: Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan.
F8: 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).
F9: Restricted stock units granted to reporting person on 02/17/11, 100% of the award is vesting on 02/17/14.
F10: Restricted stock units granted to reporting person on 02/23/12, 100% of the award is vesting on 02/23/15.
F11: Restricted stock units granted to reporting person on 02/20/13, 100% of the award is vesting on 02/20/16.