Filing Details

Accession Number:
0000049071-11-000049
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-25 12:00:00
Reporting Period:
2011-02-23
Filing Date:
2011-02-25
Accepted Time:
2011-02-25 12:11:53
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
1301372 E Steven Mcculley Humana Inc.
500 West Main Street
Louisville KY 40202
Vice President & Controller 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 2011-02-23 11,784 $32.70 36,095 No 4 M Direct
Humana Common Acquisiton 2011-02-23 7,709 $53.96 43,804 No 4 M Direct
Humana Common Disposition 2011-02-23 14,582 $63.24 29,222 No 4 S Direct
Humana Common Disposition 2011-02-24 14,000 $62.82 15,222 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
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Humana Common Options Disposition 2011-02-23 11,784 $32.70 11,784 $32.70
Humana Common Options Disposition 2011-02-23 7,709 $53.93 7,709 $53.96
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2012-02-24 No 4 M Direct
0 2013-02-23 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 692 Indirect See Footnote
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Options $62.10 2014-02-22 8,110 8,110 Direct
Humana Common Options $69.48 2015-02-21 6,839 6,839 Direct
Humana Common Options $45.98 2015-04-01 20,992 20,992 Direct
Humana Common Options $41.83 2016-02-19 9,998 9,998 Direct
Humana Common Restricted Stock Units $0.00 3,879 3,879 Direct
Humana Common Restricted Stock Units $0.00 8,990 8,990 Direct
Humana Common Phantom Stock Units $0.00 7 7 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-02-22 8,110 8,110 Direct
2015-02-21 6,839 6,839 Direct
2015-04-01 20,992 20,992 Direct
2016-02-19 9,998 9,998 Direct
3,879 3,879 Direct
8,990 8,990 Direct
7 7 Indirect
Footnotes
  1. The shares sold in multiple lots ranging from $63.2288 to $63.29 The weighted average sale price was $63.2427
  2. The shares sold in multiple lots ranging from $62.79 to $62.851. The weighted average sale price was $62.8225.
  3. Stock units held for the benefit of reporting person as of January 31, 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).
  4. Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan.
  5. Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, both vesting in three increments from 2/24/06 to 2/24/08.
  6. 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.
  7. 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.
  8. 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.
  9. 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.
  10. 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.
  11. Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
  12. 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).
  13. Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
  14. Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
  15. Phantom Stock Units held for the benefit of reporting person as of January 31, 2011 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan exempt under Rule 16b-3(c and d).