AI assistant
HUMANA INC — Director's Dealing 2013
May 8, 2013
30145_dirs_2013-05-08_eeef7ccc-f337-4d58-829f-6c5a33a6aa5b.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: 2013-05-06
Reporting Person: LeClaire Brian P. (SVP & Chief Service & Info Off)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-05-06 | Humana Common | M | 23706 | $45.975 | Acquired | 28280 | Direct |
| 2013-05-06 | Humana Common | M | 5818 | $41.83 | Acquired | 34098 | Direct |
| 2013-05-06 | Humana Common | F | 5245 | $76.285 | Disposed | 28853 | Direct |
| 2013-05-06 | Humana Common | S | 19000 | $76.1171 | Disposed | 9853 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-05-06 | Options | $45.975 | M | 23706 | Disposed | 2015-04-01 | Humana Common (23706) | Direct |
| 2013-05-06 | Options | $41.83 | M | 5818 | Disposed | 2016-02-19 | Humana Common (5818) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 132 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $72.84 | 2020-02-20 | Humana Common (6760) | 6760 | Direct |
| Restricted Stock Units | $ | Humana Common (6048) | 6048 | Direct | |
| Restricted Stock Units | $ | Humana Common (5475) | 5475 | Direct | |
| Restricted Stock Units | $ | Humana Common (6768) | 6768 | Direct | |
| Restricted Stock Units | $ | Humana Common (2231) | 2231 | Direct | |
| Phantom Stock Units | $ | Humana Common (61) | 61 | Indirect |
Footnotes
F1: Stock units held for the benefit of reporting person as of April 30, 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: Non-Qualified stock options granted to reporting person on 4/1/08, vesting in three increments from 4/1/11 to 4/1/13.
F4: Non-qualified stock options granted to reporting person on 2/19/09, vesting in three increments from 2/19/10 to 2/19/12.
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 2/17/11, 100% of the award is vesting on 2/17/14.
F10: Restricted stock units granted to reporting person on 6/29/11, 100% of the award is vesting on 6/29/14.
F11: Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
F12: Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
F13: Phantom Stock Units held for the benefit of reporting person as of April 30, 2013 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan.