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HUMANA INC — Director's Dealing 2014
Dec 8, 2014
30145_dirs_2014-12-08_20ccd6aa-dc0d-4faa-92ab-b190d68e6859.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: 2014-12-05
Reporting Person: MURRAY JAMES E (EVP & COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-12-05 | Humana Common | G | 57 | — | Disposed | 88795 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 3983 | Indirect |
| Humana Common | 1356 | Indirect |
| Humana Common | 7200 | Indirect |
| Humana Common | 1059 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $88.6475 | 2019-02-23 | Humana Common (16249) | 16249 | Direct |
| Options | $72.84 | 2020-02-20 | Humana Common (13868) | 13868 | Direct |
| Options | $102.155 | 2021-02-18 | Humana Common (24584) | 24584 | Direct |
| Restricted Stock Units | $ | Humana Common (9476) | 9476 | Direct | |
| Restricted Stock Units | $ | Humana Common (6864) | 6864 | Direct | |
| Restricted Stock Units | $ | Humana Common (5384) | 5384 | Direct | |
| Phantom Stock Units | $ | Humana Common (2519) | 2519 | Indirect |
Footnotes
F1: Shares held by reporting person's spouse.
F2: Shares held in The Murray Family Partnership.
F3: Shares held for the benefit of reporting person as of November 30, 2014 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
F4: Right to buy pursuant to Company's 2003 Stock Incentive Plan.
F5: Right to buy pursuant to Company's 2011 Stock Incentive Plan.
F6: 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.
F7: 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.
F8: Incentive and Non-Qualified stock options granted to reporting person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17.
F9: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
F10: Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan.
F11: 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).
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.
F14: Restricted stock units granted to reporting person on 02/18/14, 100% of the award is vesting on 02/18/17.
F15: Transfer of Shares from Family Partnership to Family Trust - Mr. Murray's spouse is the trustee and his family members are the beneficiaries.
F16: Phantom Stock Units held for the benefit of reporting person as of November 30, 2014 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctuation due to changes in stock price.