Filing Details
- Accession Number:
- 0000049071-13-000112
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-02 15:33:33
- Reporting Period:
- 2013-07-31
- Filing Date:
- 2013-08-02
- Accepted Time:
- 2013-08-02 15:33:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 49071 | Humana Inc | HUM | Hospital & Medical Service Plans (6324) | 610647538 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1441437 | Todoroff M Christopher | Humana Inc. 500 West Main Street Louisville KY 40202 | Sr. Vp And General Counsel | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Humana Common | Acquisiton | 2013-07-31 | 2,155 | $46.40 | 24,381 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2013-07-31 | 1,098 | $91.00 | 23,283 | No | 4 | F | Direct | |
| Humana Common | Acquisiton | 2013-08-01 | 11,667 | $29.53 | 34,950 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2013-08-01 | 11,694 | $46.40 | 46,644 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2013-08-01 | 15,178 | $61.18 | 61,822 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2013-08-01 | 39,596 | $90.30 | 22,226 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | Disposition | 2013-08-01 | 11,667 | $0.00 | 11,667 | $29.53 |
| Humana Common | Options | Disposition | 2013-07-31 | 2,155 | $0.00 | 2,155 | $46.40 |
| Humana Common | Options | Disposition | 2013-08-01 | 11,694 | $0.00 | 11,694 | $46.40 |
| Humana Common | Options | Disposition | 2013-08-01 | 15,178 | $0.00 | 15,178 | $61.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-04-28 | No | 4 | M | Direct | |
| 11,694 | 2017-02-18 | No | 4 | M | Direct | |
| 0 | 2017-02-18 | No | 4 | M | Direct | |
| 7,589 | 2018-02-17 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $88.65 | 2019-02-23 | 24,374 | 24,374 | Direct | |
| Humana Common | Options | $72.84 | 2020-02-20 | 14,041 | 14,041 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 5,149 | 5,149 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 4,738 | 4,738 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 4,633 | 4,633 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-02-23 | 24,374 | 24,374 | Direct |
| 2020-02-20 | 14,041 | 14,041 | Direct |
| 5,149 | 5,149 | Direct | |
| 4,738 | 4,738 | Direct | |
| 4,633 | 4,633 | Direct |
Footnotes
- Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
- Non-Qualified stock option grant vests in three increments from 4/28/10 to 4/28/12.
- 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 2/18/11 to 2/18/13.
- 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.
- 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.
- 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.
- Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
- 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).
- Restricted stock units granted to reporting person on 02/17/11, 100% of the award is vesting on 02/17/14.
- Restricted stock units granted to reporting person on 02/23/12, 100% of the award is vesting on 02/23/15.
- Restricted stock units granted to reporting person on 02/20/13, 100% of the award is vesting on 02/20/16.
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