4//SEC Filing
LISTON THOMAS J 4
Accession 0000049071-12-000037
CIK 0000049071other
Filed
Feb 26, 7:00 PM ET
Accepted
Feb 27, 4:15 PM ET
Size
13.7 KB
Accession
0000049071-12-000037
Insider Transaction Report
Form 4
HUMANA INCHUM
LISTON THOMAS J
Sr VP-Senior Products
Transactions
- Award
Restricted Stock Units
2012-02-23$0.17/sh+5,640$940→ 5,640 total→ Humana Common (5,640 underlying)
Holdings
- 2,688
Options
Exercise: $41.83Exp: 2016-02-19→ Humana Common (2,688 underlying) - 5,721
Restricted Stock Units
→ Humana Common (5,721 underlying) - 9,828(indirect: See Footnote)
Humana Common
- 11,995
Options
Exercise: $45.98Exp: 2015-04-01→ Humana Common (11,995 underlying) - 4,095
Restricted Stock Units
→ Humana Common (4,095 underlying) - 99,070
Humana Common
Footnotes (9)
- [F1]Shares held for the benefit of reporting person as of January 31, 2012 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).
- [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 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.
- [F4]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.
- [F5]Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
- [F6]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).
- [F7]Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
- [F8]Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
- [F9]Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
Documents
Issuer
HUMANA INC
CIK 0000049071
Entity typeother
Related Parties
1- filerCIK 0001119596
Filing Metadata
- Form type
- 4
- Filed
- Feb 26, 7:00 PM ET
- Accepted
- Feb 27, 4:15 PM ET
- Size
- 13.7 KB