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HUMANA INC — Director's Dealing 2013
Feb 22, 2013
30145_dirs_2013-02-22_b8b67ce6-c0ad-46cf-a85b-4ab35ea75f79.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: 2013-02-20
Reporting Person: BLOEM JAMES H (Sr. VP, CFO & Treasurer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-02-20 | Options | $72.84 | A | 18201 | Acquired | 2020-02-20 | Humana Common (18201) | Direct |
| 2013-02-20 | Restricted Stock Units | $ | A | 6006 | Acquired | Humana Common (6006) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 43570 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $69.475 | 2015-02-21 | Humana Common (46436) | 46436 | Direct |
| Options | $46.40 | 2017-02-18 | Humana Common (12118) | 12118 | Direct |
| Options | $61.18 | 2018-02-17 | Humana Common (15178) | 15178 | Direct |
| Options | $88.6475 | 2019-02-23 | Humana Common (28436) | 28436 | Direct |
| Restricted Stock Units | $ | Humana Common (5149) | 5149 | Direct | |
| Restricted Stock Units | $ | Humana Common (17201) | 17201 | Direct | |
| Restricted Stock Units | $ | Humana Common (5528) | 5528 | Direct |
Footnotes
F1: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F2: Incentive and Non-Qualified stock options granted to reporting person on 2/21/08, NQ options vesting in three increments from 2/21/09 to 2/21/11, and ISO's vesting on 2/21/11.
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 2/18/11 to 2/18/13.
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 2/17/12 to 2/17/14.
F5: 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.
F6: 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.
F7: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F8: Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan.
F9: 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).
F10: Restricted stock units granted to reporting person on 02/17/11, 100% of the award is vesting on 02/17/14.
F11: Restricted stock units granted to reporting person on 11/7/11, 100% of the award is vesting on 11/7/13.
F12: Restricted stock units granted to reporting person on 02/23/12, 100% of the award is vesting on 02/23/15.
F13: Restricted stock units granted to reporting person on 02/20/13, 100% of the award is vesting on 02/20/16.