Home > Insider Trading > Filing (0000049071-12-000001)

Filing Details

Accession Number:: 0000049071-12-000001
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2012-01-03 15:23:04
Reporting Period:: 2011-12-30

Filing Date:: 2012-01-03
Accepted Time:: 2012-01-03 15:23:04
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Humana Common	Acquisiton	2011-12-30	17,900	$32.70	112,765	No	4	M	Direct
Humana Common	Acquisiton	2011-12-30	10,000	$13.00	122,765	No	4	M	Direct
Humana Common	Acquisiton	2011-12-30	10,000	$9.26	132,765	No	4	M	Direct
Humana Common	Acquisiton	2011-12-30	10,000	$21.28	142,765	No	4	M	Direct
Humana Common	Acquisiton	2011-12-30	8,564	$53.96	151,329	No	4	M	Direct
Humana Common	Acquisiton	2011-12-30	4,866	$62.10	156,195	No	4	M	Direct
Humana Common	Acquisiton	2011-12-30	6,269	$69.48	162,464	No	4	M	Direct
Humana Common	Acquisiton	2011-12-30	5,998	$45.98	168,462	No	4	M	Direct
Humana Common	Acquisiton	2011-12-30	5,375	$41.83	173,837	No	4	M	Direct
Humana Common	Disposition	2011-12-30	73,740	$87.57	100,097	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Humana Common	Options	Disposition	2011-12-30	17,900	$32.70	17,900	$32.70
Humana Common	Options	Disposition	2011-12-30	10,000	$13.00	10,000	$13.00
Humana Common	Options	Disposition	2011-12-30	10,000	$9.26	10,000	$9.26
Humana Common	Options	Disposition	2011-12-30	10,000	$21.28	10,000	$21.28
Humana Common	Options	Disposition	2011-12-30	8,564	$53.96	8,564	$53.96
Humana Common	Options	Disposition	2011-12-30	4,866	$62.10	4,866	$62.10
Humana Common	Options	Disposition	2011-12-30	6,269	$69.48	6,269	$69.48
Humana Common	Options	Disposition	2011-12-30	5,998	$45.98	5,998	$45.98
Humana Common	Options	Disposition	2011-12-30	5,375	$41.83	5,375	$41.83

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2012-02-24	No	4	M	Direct
0	2012-03-13	No	4	M	Direct
0	2013-03-13	No	4	M	Direct
0	2014-02-24	No	4	M	Direct
0	2013-02-23	No	4	M	Direct
0	2014-02-22	No	4	M	Direct
0	2015-02-21	No	4	M	Direct
11,995	2015-04-01	No	4	M	Direct
2,688	2016-02-19	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Humana Common	9,851	Indirect	See Footnote

Reported Derivative Holdings

Show Other Fields >>

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Humana Common	Restricted Stock Units	$0.00			4,095	4,095	Direct
Humana Common	Restricted Stock Units	$0.00			5,721	5,721	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	4,095	4,095	Direct
	5,721	5,721	Direct

Footnotes

Shares held for the benefit of reporting person 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).
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 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.
Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.