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HUMANA INC — Director's Dealing 2014
Jan 3, 2014
30145_dirs_2014-01-03_836f419c-d4cc-4907-b958-ba8f72b1b0b2.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: 2013-12-31
Reporting Person: BLOEM JAMES H (Sr. VP, CFO & Treasurer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Humana Common | 30326 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $61.18 | 2018-02-17 | Humana Common (7589) | 7589 | Direct |
| Options | $88.6475 | 2019-02-23 | Humana Common (28436) | 28436 | Direct |
| Options | $72.84 | 2020-02-20 | Humana Common (18201) | 18201 | Direct |
| Restricted Stock Units | $ | Humana Common (5149) | 5149 | Direct | |
| Restricted Stock Units | $ | Humana Common (5528) | 5528 | Direct | |
| Restricted Stock Units | $ | Humana Common (6006) | 6006 | Direct |
Footnotes
F1: Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
F2: 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.
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 2/23/13 to 2/23/15.
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: Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
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 02/17/11, 100% of the award is vesting on 02/17/14.
F9: Restricted stock units granted to reporting person on 02/23/12, 100% of the award is vesting on 02/23/15.
F10: Restricted stock units granted to reporting person on 02/20/13, 100% of the award is vesting on 02/20/16.
F11: The Form 4 is being filed to notify that the reporting person retired as an Officer as of 12/31/2013, and is no longer subject to Section 16.