Filing Details

Accession Number:
0000049071-13-000154
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2013-11-14 11:03:05
Reporting Period:
2011-07-29
Filing Date:
2013-11-14
Accepted Time:
2013-11-14 11:03:05
Original Submission Date:
2013-05-20
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
1194004 A Frank Damelio Pfizer Inc.
235 East 42Nd Street, 235/23/5
New York NY 10017
Yes No 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 2013-05-20 2,500 $23.05 20,829 No 4 M Direct
Humana Common Disposition 2013-05-20 721 $79.90 20,108 No 4 F Direct
Humana Common Acquisiton 2011-07-29 526 $79.83 20,634 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Humana Common Option Disposition 2013-05-20 2,500 $0.00 2,500 $23.05
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2005-01-02 2014-01-02 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Stock Unit $0.00 1,821 1,821 Direct
Humana Common Stock Unit $0.00 14,025 14,025 Direct
Humana Common Stock Unit $0.00 2,467 2,467 Direct
Humana Common Stock Unit $0.00 318 318 Direct
Humana Common Restricted Stock Units $0.00 2,026 2,026 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
1,821 1,821 Direct
14,025 14,025 Direct
2,467 2,467 Direct
318 318 Direct
2,026 2,026 Direct
Footnotes
  1. Annual Director's fee payable in stock units, deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
  2. Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis (over a five-year period), exempt pursuant to Rule 16(b)-3(d)(1).
  3. Director's cash fee elected to be converted into stock units, deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis (over a five-year period), exempt pursuant to Rule 16(b)-3(d)(1).
  4. Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan.
  5. Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).
  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) under the Company's 2011 Plan. 100% of the award is vesting on 12/31/2013.
  7. Beginning with July 2011, on each of the Company's quarterly dividend payment dates, reporting person's brokerage firm purchased additional Humana shares with the cash dividend. Inadvertantly, these nominal purchases were not reported. Reporting person had no opposite way transactions during this time. Shares purchased at prices ranging from $70.1712 to $91.2440.