4//SEC Filing
HUMANA INC 4
Accession 0000049071-07-000112
$HUMCIK 0000049071operating
Filed
Oct 1, 8:00 PM ET
Accepted
Oct 2, 10:38 AM ET
Size
49.9 KB
Accession
0000049071-07-000112
Insider Transaction Report
Form 4
HUMANA INCHUM
HIPWELL ARTHUR P
Sr VP & General Counsel
Transactions
- Sale
Humana Common
2007-09-28$69.85/sh−600$41,910→ 102,802 total - Gift
Humana Common
2007-09-28−2,000→ 124,127 total - Exercise/Conversion
Options
2007-09-28$21.27/sh−55,300$1,176,508→ 4,700 totalExercise: $21.27Exp: 2014-02-24→ Humana Common (55,300 underlying) - Exercise/Conversion
Humana Common
2007-09-28$12.99/sh+21,915$284,785→ 122,117 total - Gift
Humana Common
2007-10-01+300→ 1,650 total(indirect: See Footnote) - Gift
Humana Common
2007-10-01−1,425→ 122,702 total - Sale
Humana Common
2007-09-28$69.75/sh−2,800$195,300→ 118,902 total - Sale
Humana Common
2007-09-28$69.77/sh−4,100$286,057→ 114,602 total - Sale
Humana Common
2007-09-28$69.82/sh−1,000$69,820→ 105,502 total - Sale
Humana Common
2007-09-28$69.86/sh−1,800$125,748→ 101,002 total - Sale
Humana Common
2007-09-28$69.74/sh−900$62,766→ 121,702 total - Sale
Humana Common
2007-09-28$69.79/sh−1,100$76,769→ 113,202 total - Sale
Humana Common
2007-09-28$69.80/sh−5,900$411,820→ 107,302 total - Sale
Humana Common
2007-09-28$69.83/sh−1,200$83,796→ 104,302 total - Sale
Humana Common
2007-09-28$69.81/sh−800$55,848→ 106,502 total - Exercise/Conversion
Humana Common
2007-09-28$21.27/sh+55,300$1,176,508→ 177,417 total - Tax Payment
Humana Common
2007-09-28$70.47/sh−25,217$1,777,042→ 152,200 total - Exercise/Conversion
Options
2007-09-28$12.99/sh−21,915$284,785→ 15,585 totalExercise: $12.99Exp: 2012-03-13→ Humana Common (21,915 underlying) - Sale
Humana Common
2007-09-28$69.76/sh−200$13,952→ 118,702 total - Sale
Humana Common
2007-09-28$69.78/sh−300$20,934→ 114,302 total - Sale
Humana Common
2007-09-28$69.73/sh−100$6,973→ 122,602 total
Holdings
- 5,517(indirect: See Footnote)
Humana Common
- 47,655
Options
Exercise: $53.96Exp: 2013-02-23→ Humana Common (47,655 underlying) - 38,062
Options
Exercise: $62.10Exp: 2014-02-22→ Humana Common (38,062 underlying) - 13,324(indirect: See Footnote)
Phantom Stock Units
→ Humana Common (13,324 underlying) - 75,000
Options
Exercise: $32.70Exp: 2012-02-24→ Humana Common (75,000 underlying) - 10,799
Options
Exercise: $9.26Exp: 2013-03-13→ Humana Common (10,799 underlying)
Footnotes (11)
- [F1]Shares held on behalf of minor children.
- [F10]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.
- [F11]Phantom Stock Units held for the benefit of reporting person as of August 31, 2007 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan. All transactions are exempt under Rule 16b-3(c and d).
- [F2]Stock units held for the benefit of reporting person as of August 31, 2007 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).
- [F3]Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees.
- [F4]Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, vesting in three increments each from 3/13/03 to 3/13/05.
- [F5]Incentive and Non-Qualified stock options granted to reporting person on 3/13/03, NQ options vesting in three increments from 3/13/04 to 3/13/06, and ISO's vesting on 3/13/06.
- [F6]Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
- [F7]Incentive and Non-Qualified stock options granted to reporting person on 2/24/04, NQ options vesting in three increments from 2/24/05 to 2/24/07, and ISO's vesting on 2/24/07.
- [F8]Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, NQ options vesting in three increments from 2/24/06 to 2/24/08, and ISO's vesting on 2/24/08.
- [F9]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.
Documents
Issuer
HUMANA INC
CIK 0000049071
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000049071
Filing Metadata
- Form type
- 4
- Filed
- Oct 1, 8:00 PM ET
- Accepted
- Oct 2, 10:38 AM ET
- Size
- 49.9 KB