4//SEC Filing
LISTON THOMAS J 4
Accession 0000049071-12-000074
CIK 0000049071other
Filed
Apr 26, 8:00 PM ET
Accepted
Apr 27, 12:11 PM ET
Size
17.6 KB
Accession
0000049071-12-000074
Insider Transaction Report
Form 4
HUMANA INCHUM
LISTON THOMAS J
Sr VP-Senior Products
Transactions
- Award
Restricted Stock Units
2012-04-25$0.17/sh+1,683$281→ 1,683 total→ Humana Common (1,683 underlying) - Award
Options
2012-04-25$89.14/sh+4,661$415,505→ 4,661 totalExercise: $89.14Exp: 2019-04-25→ Humana Common (4,661 underlying)
Holdings
- 11,995
Options
Exercise: $45.98Exp: 2015-04-01→ Humana Common (11,995 underlying) - 2,688
Options
Exercise: $41.83Exp: 2016-02-19→ Humana Common (2,688 underlying) - 9,935(indirect: See Footnote)
Humana Common
- 4,095
Restricted Stock Units
→ Humana Common (4,095 underlying) - 5,721
Restricted Stock Units
→ Humana Common (5,721 underlying) - 5,640
Restricted Stock Units
→ Humana Common (5,640 underlying) - 99,070
Humana Common
Footnotes (11)
- [F1]Shares held for the benefit of reporting person as of March 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).
- [F10]Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
- [F11]Restricted stock units granted to reporting person on 4/25/12, 100% of the award is vesting on 4/25/15.
- [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]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 4/25/13 to 4/25/15.
- [F6]Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
- [F7]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).
- [F8]Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13.
- [F9]Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
Documents
Issuer
HUMANA INC
CIK 0000049071
Entity typeother
Related Parties
1- filerCIK 0001119596
Filing Metadata
- Form type
- 4
- Filed
- Apr 26, 8:00 PM ET
- Accepted
- Apr 27, 12:11 PM ET
- Size
- 17.6 KB