Filing Details
- Accession Number:
- 0000049071-10-000047
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-07-01 13:00:00
- Reporting Period:
- 2010-06-29
- Filing Date:
- 2010-07-01
- Accepted Time:
- 2010-07-01 12:18:15
- 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 |
|---|---|---|---|---|---|---|---|
| 1119596 | J Thomas Liston | Humana Inc. 500 West Main Street Louisville KY 40202 | Sr Vp-Senior Products | 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 | 2010-06-29 | 25,350 | $7.09 | 120,918 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2010-06-29 | 25,350 | $46.45 | 95,568 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2010-06-29 | 25,350 | $7.09 | 25,350 | $7.09 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-07-13 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 9,963 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $32.70 | 2012-02-24 | 17,900 | 17,900 | Direct | |
| Humana Common | Options | $13.00 | 2012-03-13 | 10,000 | 10,000 | Direct | |
| Humana Common | Options | $9.26 | 2013-03-13 | 10,000 | 10,000 | Direct | |
| Humana Common | Options | $21.28 | 2014-02-24 | 10,000 | 10,000 | Direct | |
| Humana Common | Options | $53.96 | 2013-02-23 | 8,564 | 8,564 | Direct | |
| Humana Common | Options | $62.10 | 2014-02-22 | 4,866 | 4,866 | Direct | |
| Humana Common | Options | $69.48 | 2015-02-21 | 6,269 | 6,269 | Direct | |
| Humana Common | Options | $45.98 | 2015-04-01 | 17,993 | 17,993 | Direct | |
| Humana Common | Options | $41.83 | 2016-02-19 | 8,063 | 8,063 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 4,095 | 4,095 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-02-24 | 17,900 | 17,900 | Direct |
| 2012-03-13 | 10,000 | 10,000 | Direct |
| 2013-03-13 | 10,000 | 10,000 | Direct |
| 2014-02-24 | 10,000 | 10,000 | Direct |
| 2013-02-23 | 8,564 | 8,564 | Direct |
| 2014-02-22 | 4,866 | 4,866 | Direct |
| 2015-02-21 | 6,269 | 6,269 | Direct |
| 2015-04-01 | 17,993 | 17,993 | Direct |
| 2016-02-19 | 8,063 | 8,063 | Direct |
| 4,095 | 4,095 | Direct |
Footnotes
- Shares held for the benefit of reporting person as of May 31, 2010 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).
- Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees.
- Incentive and Non-Qualified stock options granted to reporting person on 7/13/00 vesting in three increments each from 7/13/01 to 7/13/03.
- Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, NQ options vesting on 3/13/03, and ISO's vesting in two increments on 3/13/04 and 3/13/05.
- Incentive stock options granted to reporting person on 3/13/03 vesting in three increments from 3/13/04 to 3/13/06.
- Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
- Incentive and Non-Qualified stock options granted to reporting person on 2/24/04, NQ vesting in two increments on 2/24/05 and 2/24/06, and ISO's vesting in three increments from 2/24/05 to 2/24/07.
- Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, NQ options vesting in three increments from 2/24/06 to 2/24/08, and ISO's vesting in two increments on 2/24/07 and 2/24/08.
- Incentive and Non-Qualified stock options granted to reporting person on 2/23/06, NQ options vesting in three increments from 2/23/07 to 2/23/09, and ISO's vesting on 2/23/09.
- Incentive and Non-Qualified stock options granted to reporting person on 2/22/07, NQ options vesting in three increments from 2/22/08 to 2/22/10, and ISO's vesting on 2/22/10.
- Incentive and Non-Qualified stock options granted to reporting person on 2/21/08, NQ options vesting in three increments from 2/21/09 to 2/21/11, and ISO's vesting on 2/21/11.
- Incentive and Non-Qualified stock options granted to reporting person on 4/1/08, NQ options vesting in three increments from 4/1/11 to 4/1/13, and ISO's vesting in two increments on 4/1/12 and 4/1/13.
- 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 2/19/10 to 2/19/12.
- 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).
- Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
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