Filing Details
- Accession Number:
- 0000049071-13-000117
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-07 16:15:58
- Reporting Period:
- 2013-08-07
- Filing Date:
- 2013-08-07
- Accepted Time:
- 2013-08-07 16:15:58
- 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 |
|---|---|---|---|---|---|---|---|
| 1133713 | H James Bloem | Humana Inc. 500 West Main Street Louisville KY 40202 | Sr. Vp, Cfo & Treasurer | 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 | 2013-08-07 | 33,000 | $91.79 | 21,767 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $61.18 | 2018-02-17 | 7,589 | 7,589 | Direct | |
| Humana Common | Options | $88.65 | 2019-02-23 | 28,436 | 28,436 | Direct | |
| Humana Common | Options | $72.84 | 2020-02-20 | 18,201 | 18,201 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 5,149 | 5,149 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 17,201 | 17,201 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 5,528 | 5,528 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 6,006 | 6,006 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2018-02-17 | 7,589 | 7,589 | Direct |
| 2019-02-23 | 28,436 | 28,436 | Direct |
| 2020-02-20 | 18,201 | 18,201 | Direct |
| 5,149 | 5,149 | Direct | |
| 17,201 | 17,201 | Direct | |
| 5,528 | 5,528 | Direct | |
| 6,006 | 6,006 | Direct |
Footnotes
- Right to buy 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.
- 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 2/23/13 to 2/23/15.
- Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16.
- Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
- Right to receive one share per restricted stock unit pursuant to the Company's 2011 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 02/17/11, 100% of the award is vesting on 02/17/14.
- Restricted stock units granted to reporting person on 11/7/11, 100% of the award is vesting on 11/7/13.
- Restricted stock units granted to reporting person on 02/23/12, 100% of the award is vesting on 02/23/15.
- Restricted stock units granted to reporting person on 02/20/13, 100% of the award is vesting on 02/20/16.
- Sold at prices ranging from $91.7300 to $92.0600.
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