Filing Details

Accession Number:
0000049071-13-000134
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-08-30 13:14:54
Reporting Period:
2013-08-29
Filing Date:
2013-08-30
Accepted Time:
2013-08-30 13:14:54
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 Acquisiton 2013-08-29 3,295 $69.48 15,211 No 4 M Direct
Humana Common Disposition 2013-08-29 1,091 $93.02 14,120 No 4 F Direct
Humana Common Disposition 2013-08-29 1,484 $93.45 12,636 No 4 S Direct
Humana Common Disposition 2013-08-30 1,835 $93.26 10,801 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F 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 2013-08-29 3,295 $0.00 3,295 $69.48
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,835 2015-02-21 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 6,861 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Options $72.84 2020-02-20 4,680 4,680 Direct
Humana Common Restricted Stock Units $0.00 2,355 2,355 Direct
Humana Common Restricted Stock Units $0.00 2,820 2,820 Direct
Humana Common Restricted Stock Units $0.00 1,544 1,544 Direct
Humana Common Phantom Stock Units $0.00 1 357 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-02-20 4,680 4,680 Direct
2,355 2,355 Direct
2,820 2,820 Direct
1,544 1,544 Direct
1 357 Indirect
Footnotes
  1. Shares held for the benefit of reporting person as of July 31, 2013 under the Humana Retirement & Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, 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. 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.
  5. Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
  6. Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan.
  7. 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).
  8. Restricted stock units granted to reporting person on 5/05/11, 100% of the award is vesting on 5/05/14.
  9. Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
  10. Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
  11. Phantom Stock Units held for the benefit of reporting person as of July 31, 2013 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctation due to changes in stock price.
  12. Sold at prices ranging from $93.42 to $93.50.
  13. Sold at prices ranging from $93.2440 to $93.3150