GOODMAN BRUCE J 4

Accession 0000049071-11-000176

CIK 0000049071other

View on SEC.gov Company Profile

Filed

Nov 13, 7:00 PM ET

Accepted

Nov 14, 9:37 AM ET

Size

39.3 KB

Accession

0000049071-11-000176

Insider Transaction Report

Form 4

Period: 2011-11-09

HUMANA INCHUM

GOODMAN BRUCE J

Sr VP & Chief Serv. & Info. Of

Transactions

Sale
Humana Common
2011-11-09$87.00/sh−5,000$435,000→ 44,280 total
Sale
Humana Common
2011-11-09$86.95/sh−5,000$434,750→ 29,280 total
Exercise/Conversion
Humana Common
2011-11-10$53.96/sh+50$2,698→ 29,330 total
Exercise/Conversion
Humana Common
2011-11-11$62.10/sh+13,544$841,082→ 57,228 total
Sale
Humana Common
2011-11-11$87.92/sh−28,948$2,545,198→ 28,280 total
Sale
Humana Common
2011-11-11$87.65/sh−5,000$438,250→ 23,280 total
Exercise/Conversion
Options
2011-11-09$53.96/sh−20,000$1,079,200→ 15,454 total
Exercise: $53.96Exp: 2013-02-23→ Humana Common (20,000 underlying)
Sale
Humana Common
2011-11-10$87.13/sh−50$4,357→ 29,280 total
Sale
Humana Common
2011-11-10$86.38/sh−1,000$86,375→ 28,280 total
Exercise/Conversion
Humana Common
2011-11-11$53.96/sh+15,404$831,200→ 43,684 total
Exercise/Conversion
Options
2011-11-11$53.96/sh−15,404$831,200→ 0 total
Exercise: $53.96Exp: 2013-02-23→ Humana Common (15,404 underlying)
Exercise/Conversion
Options
2011-11-11$62.10/sh−13,544$841,082→ 22,908 total
Exercise: $62.10Exp: 2014-02-22→ Humana Common (13,544 underlying)
Exercise/Conversion
Humana Common
2011-11-09$53.96/sh+20,000$1,079,200→ 49,280 total
Sale
Humana Common
2011-11-09$86.81/sh−5,000$434,053→ 39,280 total
Sale
Humana Common
2011-11-09$86.82/sh−5,000$434,111→ 34,280 total
Exercise/Conversion
Options
2011-11-10$53.96/sh−50$2,698→ 15,404 total
Exercise: $53.96Exp: 2013-02-23→ Humana Common (50 underlying)

Holdings

Options
Exercise: $46.40Exp: 2017-02-18→ Humana Common (17,311 underlying)
17,311
Restricted Stock Units
→ Humana Common (3,432 underlying)
3,432
Humana Common
(indirect: See Footnote)
128
Options
Exercise: $69.47Exp: 2015-02-21→ Humana Common (39,597 underlying)
39,597
Options
Exercise: $41.83Exp: 2016-02-19→ Humana Common (19,351 underlying)
19,351
Options
Exercise: $61.18Exp: 2018-02-17→ Humana Common (15,178 underlying)
15,178

Footnotes (12)

[F1]Stock units held for the benefit of reporting person as of October 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).
[F10]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).
[F11]Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
[F12]The shares sold in multiple lots ranging from $87.51 to $88.15. The weighted average sale price was $87.9231
[F2]Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
[F3]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.
[F4]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.
[F5]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.
[F6]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.
[F7]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.
[F8]Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
[F9]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.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

HUMANA INC

CIK 0000049071

→

Entity typeother

IncorporatedKY

Related Parties

filerCIK 0001083933

Filing Metadata

Form type: 4
Filed: Nov 13, 7:00 PM ET
Accepted: Nov 14, 9:37 AM ET
Size: 39.3 KB

View on SEC.gov