Filing Details

Accession Number:
0000049071-11-000113
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-05-23 10:41:36
Reporting Period:
2011-05-19
Filing Date:
2011-05-23
Accepted Time:
2011-05-23 10:41:36
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 2011-05-19 38,062 $62.10 71,992 No 4 M Direct
Humana Common Disposition 2011-05-19 46,452 $79.91 25,540 No 4 S Direct
Humana Common Disposition 2011-05-19 1,252 $79.83 24,288 No 4 F Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 F Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Humana Common Options Disposition 2011-05-19 38,062 $62.10 38,062 $62.10
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-02-22 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Humana Common Options $69.48 2015-02-21 41,036 41,036 Direct
Humana Common Options $41.83 2016-02-19 38,701 19,351 Direct
Humana Common Options $46.40 2017-02-18 12,117 24,235 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
2015-02-21 41,036 41,036 Direct
2016-02-19 38,701 19,351 Direct
2017-02-18 12,117 24,235 Direct
2018-02-17 22,767 22,767 Direct
5,149 5,149 Direct
Footnotes
  1. The shares sold in multiple lots ranging from $79.69 to $80.04. The weighted average sale price was $79.9072.
  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 2/22/07, NQ options vesting in three increments from 2/22/08 to 2/22/10, and ISO's vesting on 2/22/10.
  4. 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.
  5. 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.
  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 2/18/11 to 2/18/13.
  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 2/17/12 to 2/17/14.
  8. Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
  9. 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).
  10. Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.