Filing Details
- Accession Number:
- 0000049071-11-000178
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-16 10:54:22
- Reporting Period:
- 2011-11-14
- Filing Date:
- 2011-11-16
- Accepted Time:
- 2011-11-16 10:54:22
- 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 |
|---|---|---|---|---|---|---|---|
| 1083933 | J Bruce Goodman | Humana Inc. 500 West Main Street Louisville KY 40202 | Sr. Vp | 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 | 2011-11-14 | 15,000 | $62.10 | 38,280 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2011-11-14 | 5,000 | $88.07 | 33,280 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2011-11-14 | 5,000 | $88.21 | 28,280 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2011-11-14 | 5,000 | $88.40 | 23,280 | No | 4 | S | Direct | |
| Humana Common | Acquisiton | 2011-11-15 | 7,908 | $62.10 | 31,188 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2011-11-15 | 4,000 | $88.49 | 27,188 | No | 4 | S | Direct | |
| Humana Common | Disposition | 2011-11-15 | 3,908 | $88.15 | 23,280 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2011-11-14 | 15,000 | $62.10 | 15,000 | $62.10 |
| Humana Common | Options | Disposition | 2011-11-15 | 7,908 | $62.10 | 7,908 | $62.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 7,908 | 2014-02-22 | No | 4 | M | Direct | |
| 0 | 2014-02-22 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Humana Common | 128 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $69.48 | 2015-02-21 | 39,597 | 39,597 | Direct | |
| Humana Common | Options | $41.83 | 2016-02-19 | 19,351 | 19,351 | Direct | |
| Humana Common | Options | $46.40 | 2017-02-18 | 17,311 | 17,311 | Direct | |
| Humana Common | Options | $61.18 | 2018-02-17 | 15,178 | 15,178 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 3,432 | 3,432 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-02-21 | 39,597 | 39,597 | Direct |
| 2016-02-19 | 19,351 | 19,351 | Direct |
| 2017-02-18 | 17,311 | 17,311 | Direct |
| 2018-02-17 | 15,178 | 15,178 | Direct |
| 3,432 | 3,432 | Direct |
Footnotes
- Stock units held for the benefit of reporting person as of October 31, 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 the Company'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.
- 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.
- 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.
- Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
- 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.
- 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 2/17/11, 100% of the award is vesting on 2/17/14.
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