McCulley Steven E 4

Accession 0000049071-13-000074

CIK 0000049071other

View on SEC.gov Company Profile

Filed

May 7, 8:00 PM ET

Accepted

May 8, 2:27 PM ET

Size

23.0 KB

Accession

0000049071-13-000074

Insider Transaction Report

Form 4

Period: 2013-05-06

HUMANA INCHUM

McCulley Steven E

Vice President & Controller

Transactions

Exercise/Conversion
Humana Common
2013-05-06$41.83/sh+3,333$139,419→ 31,524 total
Exercise/Conversion
Options
2013-05-06−13,994→ 0 total
Exercise: $45.98Exp: 2015-04-01→ Humana Common (13,994 underlying)
Exercise/Conversion
Options
2013-05-06−3,333→ 0 total
Exercise: $41.83Exp: 2016-02-19→ Humana Common (3,333 underlying)
Exercise/Conversion
Humana Common
2013-05-06$45.98/sh+13,994$643,374→ 28,191 total
Sale
Humana Common
2013-05-06$75.63/sh−10,300$778,952→ 19,327 total
Tax Payment
Humana Common
2013-05-06$76.28/sh−1,897$144,713→ 29,627 total

Holdings

Humana Common
(indirect: See Footnote)
695
Options
Exercise: $72.84Exp: 2020-02-20→ Humana Common (4,576 underlying)
4,576
Phantom Stock Units
(indirect: See Footnote)
→ Humana Common (7 underlying)
7
Restricted Stock Units
→ Humana Common (8,990 underlying)
8,990
Restricted Stock Units
→ Humana Common (5,076 underlying)
5,076
Restricted Stock Units
→ Humana Common (1,510 underlying)
1,510

Footnotes (12)

[F1]Stock units held for the benefit of reporting person as of April 30, 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 2/23/12, 100% of the award is vesting on 2/23/15.
[F11]Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
[F12]Phantom Stock Units held for the benefit of reporting person as of April 30, 2013 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan.
[F2]Right to buy pursuant to Humana Inc.'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]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.
[F6]Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
[F7]Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan.
[F8]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).
[F9]Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

HUMANA INC

CIK 0000049071

→

Entity typeother

Related Parties

filerCIK 0001301372

Filing Metadata

Form type: 4
Filed: May 7, 8:00 PM ET
Accepted: May 8, 2:27 PM ET
Size: 23.0 KB

View on SEC.gov