Filing Details

Accession Number:
0000049071-11-000055
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-03-02 11:09:53
Reporting Period:
2011-03-01
Filing Date:
2011-03-02
Accepted Time:
2011-03-02 11:09:53
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
1085718 C Bonnie Hathcock Humana Inc.
500 West Main Street
Louisville KY 40202
Sr Vp & Chief Human Res. Off 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 2011-03-01 38,701 $41.83 72,681 No 4 M Direct
Humana Common Acquisiton 2011-03-01 12,117 $46.40 84,798 No 4 M Direct
Humana Common Disposition 2011-03-01 50,818 $64.01 33,980 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 2011-03-01 38,701 $41.83 38,701 $41.83
Humana Common Options Disposition 2011-03-01 12,117 $46.40 12,117 $46.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
19,351 2016-02-19 No 4 M Direct
24,235 2017-02-18 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Humana Common 33,980 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Options $53.96 2013-02-23 31,770 31,770 Direct
Humana Common Options $62.10 2014-02-22 38,062 38,062 Direct
Humana Common Options $69.48 2015-02-21 41,036 41,036 Direct
Humana Common Options $61.18 2018-02-17 22,767 22,767 Direct
Humana Common Restricted Stock Units $0.00 5,149 5,149 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2013-02-23 31,770 31,770 Direct
2014-02-22 38,062 38,062 Direct
2015-02-21 41,036 41,036 Direct
2018-02-17 22,767 22,767 Direct
5,149 5,149 Direct
Footnotes
  1. The shares sold in multiple lots ranging from $63.30 to $65.22. The weighted average sale price was $64.0115.
  2. Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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 2/18/11 to 2/18/13.
  8. 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.
  9. Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
  10. 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).
  11. Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.