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HUMANA INC — Director's Dealing 2014
Mar 14, 2014
30145_dirs_2014-03-14_eee35012-7ded-408b-bc32-b523d90eb382.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: 2014-03-13
Reporting Person: BROUSSARD BRUCE D (President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-13 | Humana Common | M | 107534 | $88.6836 | Acquired | 151610 | Direct |
| 2014-03-13 | Humana Common | M | 17334 | $72.84 | Acquired | 168944 | Direct |
| 2014-03-13 | Humana Common | S | 109000 | $109.8446 | Disposed | 59944 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-13 | Options | $88.6836 | M | 107534 | Disposed | 2018-12-01 | Humana Common (107534) | Direct |
| 2014-03-13 | Options | $72.84 | M | 17334 | Disposed | 2020-02-20 | Humana Common (17334) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $102.155 | 2021-02-18 | Humana Common (75429) | 75429 | Direct |
| Restricted Stock Units | $ | Humana Common (17161) | 17161 | Direct | |
| Restricted Stock Units | $ | Humana Common (16519) | 16519 | Direct |
Footnotes
F1: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F2: Right to buy pursuant to the Company's 2011 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 two increments from 12/01/12 to 12/01/13.
F4: 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.
F5: 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
F6: Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan.
F7: 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).
F8: Restricted stock units granted to Reporting Person on 02/20/2013, 100% of the award is vesting on 02/20/16.
F9: Restricted stock units granted to Reporting Person on 02/18/2014, 100% of the award is vesting on 02/18/17.
F10: Sold at prices ranging from $109.4743 to $110.1000.