Filing Details
- Accession Number:
- 0000049071-14-000059
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-14 13:21:32
- Reporting Period:
- 2014-03-13
- Filing Date:
- 2014-03-14
- Accepted Time:
- 2014-03-14 13:21:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1185643 | D Bruce Broussard | Humana Inc. 500 West Main Street Louisville KY 40202 | President & Ceo | 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 | 2014-03-13 | 107,534 | $88.68 | 151,610 | No | 4 | M | Direct | |
| Humana Common | Acquisiton | 2014-03-13 | 17,334 | $72.84 | 168,944 | No | 4 | M | Direct | |
| Humana Common | Disposition | 2014-03-13 | 109,000 | $109.84 | 59,944 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2014-03-13 | 107,534 | $0.00 | 107,534 | $88.68 |
| Humana Common | Options | Disposition | 2014-03-13 | 17,334 | $0.00 | 17,334 | $72.84 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-12-01 | No | 4 | M | Direct | |
| 34,669 | 2020-02-20 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Humana Common | Options | $102.16 | 2021-02-18 | 75,429 | 75,429 | Direct | |
| Humana Common | Restricted Stock Units | $0.00 | 17,161 | 17,161 | Direct | ||
| Humana Common | Restricted Stock Units | $0.00 | 16,519 | 16,519 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-02-18 | 75,429 | 75,429 | Direct |
| 17,161 | 17,161 | Direct | |
| 16,519 | 16,519 | Direct |
Footnotes
- Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
- Right to buy pursuant to the Company's 2011 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 two increments from 12/01/12 to 12/01/13.
- 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.
- Incentive and Non-Qualified stock options granted to Reporting Person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17
- 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 02/20/2013, 100% of the award is vesting on 02/20/16.
- Restricted stock units granted to Reporting Person on 02/18/2014, 100% of the award is vesting on 02/18/17.
- Sold at prices ranging from $109.4743 to $110.1000.
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