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HUMANA INC — Director's Dealing 2014
Feb 19, 2014
30145_dirs_2014-02-19_7937866e-07fd-4d2d-be9a-ac736f1a8f3e.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: 2014-02-17
Reporting Person: McClain Tim S (Group Pres, Govt & Other Busin)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-17 | Humana Common | M | 1635 | $.1667 | Acquired | 1717 | Direct |
| 2014-02-17 | Humana Common | F | 616 | $99.235 | Disposed | 1101 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-02-18 | Options | $102.155 | A | 4470 | Acquired | 2021-02-18 | Humana Common (4470) | Direct |
| 2014-02-17 | Restricted Stock Units | $ | M | 1635 | Disposed | Humana Common (1635) | Direct | |
| 2014-02-18 | Restricted Stock Units | $ | A | 979 | Acquired | Humana Common (979) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $36.52 | 2016-08-27 | Humana Common (1667) | 1667 | Direct |
| Options | $88.6475 | 2019-02-23 | Humana Common (3971) | 3971 | Direct |
| Options | $72.84 | 2020-02-20 | Humana Common (4940) | 4940 | Direct |
| Restricted Stock Units | $ | Humana Common (3130) | 3130 | Direct | |
| Restricted Stock Units | $ | Humana Common (1630) | 1630 | 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: Non-Qualified stock options granted to reporting person on 8/27/09, 100% vested.
F4: Non-qualified stock options granted to reporting person on 2/23/12, vesting 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: 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.
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) under the Company's 2003 Stock Incentive Plan. 100% of the award is vesting on 02/17/14.
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) under the Company's 2011 Stock Incentive Plan. 100% of the award is vesting on 02/23/15.
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) under the Company's 2011 Stock Incentive Plan. 100% of the award is vesting on 02/20/16.
F10: 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) under the Company's 2011 Stock Incentive Plan. 100% of the award is vesting on 02/18/17.
F11: The Form 4 is additionally being filed to notify that effective February 19, 2014, the reporting person is no longer designated as an Officer, and is no longer subject to Section 16.