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HUMANA INC — Director's Dealing 2015
Feb 26, 2015
30145_dirs_2015-02-25_be175ec7-ac22-4d8a-a99a-0686e9fa13d8.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: 2015-02-23
Reporting Person: MARGULIS HEIDI S (Senior V.P. - Public Affairs)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-02-23 | Humana Common | M | 2820 | $.1667 | Acquired | 11550 | Direct |
| 2015-02-23 | Humana Common | F | 911 | $161.03 | Disposed | 10639 | Direct |
| 2015-02-24 | Humana Common | M | 2744 | $72.84 | Acquired | 13383 | Direct |
| 2015-02-24 | Humana Common | F | 1214 | $164.645 | Disposed | 12169 | Direct |
| 2015-02-24 | Humana Common | G | 150 | — | Disposed | 12019 | Direct |
| 2015-02-24 | Humana Common | S | 3665 | $164.44 | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-02-23 | Options | $72.84 | M | 2744 | Disposed | 2020-02-20 | Humana Common (2744) | Direct |
| 2015-02-24 | Options | $164.645 | A | 14913 | Acquired | 2022-02-24 | Humana Common (14913) | Direct |
| 2015-02-23 | Restricted Stock Units | $ | M | 2820 | Disposed | Humana Common (2820) | Direct | |
| 2015-02-24 | Phantom Stock Units | $ | S | 6 | Disposed | Humana Common (6) | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options | $102.155 | 2021-02-18 | Humana Common (7264) | 7264 | Direct |
| Restricted Stock Units | $ | Humana Common (1544) | 1544 | Direct | |
| Restricted Stock Units | $ | Humana Common (1591) | 1591 | Direct |
Footnotes
F1: Shares held for the benefit of reporting person as of February 23, 2015 under the Humana Retirement & Savings Plan. The transaction reported is an Intra-Plan transfer out of Company stock fund.
F2: Right to buy pursuant to Humana Inc.'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.
F3: Right to buy pursuant to Humana Inc.'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.
F4: Right to buy pursuant to Humana Inc.'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.
F5: Right to receive one share per restricted stock unit pursuant to the Company's 2003 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).
F6: 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).
F7: Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
F8: Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
F9: Restricted stock units granted to reporting person on 2/18/14, 100% of the award is vesting on 2/18/17.
F10: Phantom Stock Units held for the benefit of reporting person as of February 23, 2015 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The transaction reported is an Intra-Plan transfer out of Company stock fund.