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HUMANA INC — Director's Dealing 2015
Feb 27, 2015
30145_dirs_2015-02-26_fdca2c5a-5ecf-42d4-9feb-d99a82599ae7.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: HUMANA INC (HUM)
CIK: 0000049071
Period of Report: 2015-02-24
Reporting Person: BROUSSARD BRUCE D (President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-02-25 | Humana Common | M | 17334 | $72.84 | Acquired | 77278 | Direct |
| 2015-02-25 | Humana Common | M | 25143 | $102.155 | Acquired | 102421 | Direct |
| 2015-02-25 | Humana Common | F | 606 | $165.04 | Disposed | 101815 | Direct |
| 2015-02-25 | Humana Common | S | 41105 | $165.2927 | Disposed | 60710 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-02-25 | Options | $72.84 | M | 17334 | Disposed | 2020-02-20 | Humana Common (17334) | Direct |
| 2015-02-25 | Options | $102.155 | M | 25143 | Disposed | 2021-02-18 | Humana Common (25143) | Direct |
| 2015-02-24 | Options | $164.645 | A | 118626 | Acquired | 2022-02-24 | Humana Common (118626) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 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. 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.
F2: Right to buy pursuant to the Company's 2011 Stock Incentive Plan. 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.
F3: Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to Reporting Person on 02/24/15, vesting in three increments from 02/24/16 to 02/24/18.
F4: Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan. 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).
F5: Restricted stock units granted to Reporting Person on 02/20/2013, 100% of the award is vesting on 02/20/16.
F6: Restricted stock units granted to Reporting Person on 02/18/2014, 100% of the award is vesting on 02/18/17.
F7: Shares sold ranging from $165.0297 to $165.47
F8: Amendment filed due to typographical error, resulting in amout acquired and ending balance of shares previously off by 10 shares.