Filing Details
- Accession Number:
- 0000049071-11-000101
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-12 14:34:24
- Reporting Period:
- 2011-05-10
- Filing Date:
- 2011-05-12
- Accepted Time:
- 2011-05-12 14:34:24
- 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 |
|---|---|---|---|---|---|---|---|
| 1301372 | E Steven Mcculley | Humana Inc. 500 West Main Street Louisville KY 40202 | Vice President & Controller | 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 | Disposition | 2011-05-10 | 605 | $77.14 | 14,617 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2011-05-11 | 4,626 | $77.71 | 9,991 | No | 4 | S | Direct | |
| Humana Common | Acquisiton | 2011-05-11 | 8,110 | $62.10 | 18,101 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2011-05-11 | 6,839 | $69.48 | 24,940 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2011-05-11 | 6,998 | $45.98 | 31,938 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2011-05-11 | 6,665 | $41.83 | 38,603 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2011-05-11 | 25,563 | $78.06 | 13,040 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2011-05-11 | 8,110 | $62.10 | 8,110 | $62.10 |
| Humana Common | Options | Disposition | 2011-05-11 | 6,839 | $69.48 | 6,839 | $69.48 |
| Humana Common | Options | Disposition | 2011-05-11 | 6,998 | $45.98 | 6,998 | $45.98 |
| Humana Common | Options | Disposition | 2011-05-11 | 6,665 | $41.83 | 6,665 | $41.83 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-02-22 | No | 4 | M | Direct | |
| 0 | 2015-02-21 | No | 4 | M | Direct | |
| 13,994 | 2015-04-01 | No | 4 | M | Direct | |
| 3,333 | 2016-02-19 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 691 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Restricted Stock Units | $0.00 | 3,879 | 3,879 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 8,990 | 8,990 | Direct | ||
| Humana Common | Phantom Stock Units | $0.00 | 7 | 7 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 3,879 | 3,879 | Direct | |
| 8,990 | 8,990 | Direct | |
| 7 | 7 | Indirect |
Footnotes
- Stock units held for the benefit of reporting person as of April 30, 2011 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 Humana Inc.'s 2003 Stock Incentive Plan.
- 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.
- Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
- Phantom Stock Units held for the benefit of reporting person as of April 30, 2011 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan exempt under Rule 16b-3(c and d).
- The shares sold in multiple lots ranging from $77.702 to $77.722. The weighted average sale price was $77.7090.
- The shares sold in multiple lots ranging from $77.97 to $78.1408. The weighted average sale price was $78.0596.
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