Filing Details

Accession Number:
0000049071-11-000190
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-12-05 14:25:01
Reporting Period:
2011-12-02
Filing Date:
2011-12-05
Accepted Time:
2011-12-05 14:25:01
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
1103605 S Heidi Margulis Humana Inc.
500 West Main Street
Louisville KY 40202
Senior V.p. - Public Affairs 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 2011-12-02 11,362 $89.32 32,616 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 6,717 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 5,130 5,130 Direct
Humana Common Options $41.83 2016-02-19 2,043 2,043 Direct
Humana Common Restricted Stock Units $0.00 4,095 4,095 Direct
Humana Common Restricted Stock Units $0.00 2,355 2,355 Direct
Humana Common Phantom Stock Units $0.00 350 350 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2015-02-21 5,130 5,130 Direct
2016-02-19 2,043 2,043 Direct
4,095 4,095 Direct
2,355 2,355 Direct
350 350 Indirect
Footnotes
  1. Stock units held for reporting person's benefit as of November 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).
  2. Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan.
  3. 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.
  4. 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.
  5. Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
  6. 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).
  7. Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
  8. Restricted stock units granted to reporting person on 5/5/11, 100% of the award is vesting on 5/5/14.
  9. Phantom Stock Units held for the benefit of reporting person as of November 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).