LISTON THOMAS J 4

Accession 0000049071-12-000001

CIK 0000049071other

View on SEC.gov Company Profile

Filed

Jan 2, 7:00 PM ET

Accepted

Jan 3, 3:23 PM ET

Size

43.6 KB

Accession

0000049071-12-000001

Insider Transaction Report

Form 4

Period: 2011-12-30

HUMANA INCHUM

LISTON THOMAS J

Sr VP-Senior Products

Transactions

Exercise/Conversion
Options
2011-12-30$41.83/sh−5,375$224,836→ 2,688 total
Exercise: $41.83Exp: 2016-02-19→ Humana Common (5,375 underlying)
Exercise/Conversion
Humana Common
2011-12-30$32.70/sh+17,900$585,330→ 112,765 total
Exercise/Conversion
Humana Common
2011-12-30$12.99/sh+10,000$129,950→ 122,765 total
Exercise/Conversion
Options
2011-12-30$45.98/sh−5,998$275,758→ 11,995 total
Exercise: $45.98Exp: 2015-04-01→ Humana Common (5,998 underlying)
Exercise/Conversion
Humana Common
2011-12-30$53.96/sh+8,564$462,113→ 151,329 total
Exercise/Conversion
Humana Common
2011-12-30$62.10/sh+4,866$302,179→ 156,195 total
Exercise/Conversion
Humana Common
2011-12-30$69.47/sh+6,269$435,539→ 162,464 total
Exercise/Conversion
Options
2011-12-30$53.96/sh−8,564$462,113→ 0 total
Exercise: $53.96Exp: 2013-02-23→ Humana Common (8,564 underlying)
Exercise/Conversion
Options
2011-12-30$62.10/sh−4,866$302,179→ 0 total
Exercise: $62.10Exp: 2014-02-22→ Humana Common (4,866 underlying)
Exercise/Conversion
Options
2011-12-30$69.47/sh−6,269$435,539→ 0 total
Exercise: $69.47Exp: 2015-02-21→ Humana Common (6,269 underlying)
Exercise/Conversion
Humana Common
2011-12-30$45.98/sh+5,998$275,758→ 168,462 total
Exercise/Conversion
Humana Common
2011-12-30$41.83/sh+5,375$224,836→ 173,837 total
Sale
Humana Common
2011-12-30$87.57/sh−73,740$6,457,338→ 100,097 total
Exercise/Conversion
Options
2011-12-30$32.70/sh−17,900$585,330→ 0 total
Exercise: $32.70Exp: 2012-02-24→ Humana Common (17,900 underlying)
Exercise/Conversion
Options
2011-12-30$12.99/sh−10,000$129,950→ 0 total
Exercise: $12.99Exp: 2012-03-13→ Humana Common (10,000 underlying)

Holdings

Restricted Stock Units
→ Humana Common (4,095 underlying)
4,095
Humana Common
(indirect: See Footnote)
9,851
Restricted Stock Units
→ Humana Common (5,721 underlying)
5,721

Footnotes (16)

[F1]Shares held for the benefit of reporting person as of November 30, 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]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.
[F11]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.
[F12]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.
[F13]Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
[F14]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).
[F15]Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
[F16]Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
[F2]Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees.
[F3]Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, NQ options vesting on 3/13/03, and ISO's vesting in two increments on 3/13/04 and 3/13/05.
[F4]Incentive stock options granted to reporting person on 3/13/03 vesting in three increments from 3/13/04 to 3/13/06.
[F5]Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
[F6]Incentive and Non-Qualified stock options granted to reporting person on 2/24/04, NQ vesting in two increments on 2/24/05 and 2/24/06, and ISO's vesting in three increments from 2/24/05 to 2/24/07.
[F7]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 in two increments on 2/24/07 and 2/24/08.
[F8]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.
[F9]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.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

HUMANA INC

CIK 0000049071

→

Entity typeother

Related Parties

filerCIK 0001119596

Filing Metadata

Form type: 4
Filed: Jan 2, 7:00 PM ET
Accepted: Jan 3, 3:23 PM ET
Size: 43.6 KB

View on SEC.gov