LISTON THOMAS J 4

Accession 0000049071-13-000041

CIK 0000049071other

View on SEC.gov Company Profile

Filed

Feb 21, 7:00 PM ET

Accepted

Feb 22, 10:53 AM ET

Size

19.2 KB

Accession

0000049071-13-000041

Insider Transaction Report

Form 4

Period: 2013-02-20

HUMANA INCHUM

LISTON THOMAS J

Sr VP-Senior Products

Transactions

Award
Restricted Stock Units
2013-02-20+2,059→ 2,059 total
→ Humana Common (2,059 underlying)
Award
Options
2013-02-20+6,240→ 6,240 total
Exercise: $72.84Exp: 2020-02-20→ Humana Common (6,240 underlying)

Holdings

Restricted Stock Units
→ Humana Common (5,721 underlying)
5,721
Restricted Stock Units
→ Humana Common (5,640 underlying)
5,640
Humana Common
(indirect: See Footnote)
10,018
Options
Exercise: $89.14Exp: 2019-04-25→ Humana Common (4,661 underlying)
4,661
Options
Exercise: $45.98Exp: 2015-04-01→ Humana Common (11,995 underlying)
11,995
Options
Exercise: $41.83Exp: 2016-02-19→ Humana Common (2,688 underlying)
2,688
Restricted Stock Units
→ Humana Common (1,683 underlying)
1,683
Humana Common
101,723

Footnotes (13)

[F1]Shares held for the benefit of reporting person as of January 31, 2013 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 2/17/11, 100% of the award is vesting on 2/17/14.
[F11]Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
[F12]Restricted stock units granted to reporting person on 4/25/12, 100% of the award is vesting on 4/25/15.
[F13]Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
[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]Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16.
[F7]Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
[F8]Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan.
[F9]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).

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: Feb 21, 7:00 PM ET
Accepted: Feb 22, 10:53 AM ET
Size: 19.2 KB

View on SEC.gov