HUMANA INC 4
4 · HUMANA INC · Filed Jan 3, 2014
Insider Transaction Report
Form 4
HUMANA INCHUM
McCulley Steven E
Vice President & Controller
Transactions
- Award
Restricted Stock Units
2014-01-02+4,850→ 4,850 total→ Humana Common (4,850 underlying)
Holdings
- 8,990
Restricted Stock Units
→ Humana Common (8,990 underlying) - 5,076
Restricted Stock Units
→ Humana Common (5,076 underlying) - 4,576
Options
Exercise: $72.84Exp: 2020-02-20→ Humana Common (4,576 underlying) - 1,510
Restricted Stock Units
→ Humana Common (1,510 underlying) - 7(indirect: See Footnote)
Phantom Stock Units
→ Humana Common (7 underlying) - 9,327
Humana Common
- 695(indirect: See Footnote)
Humana Common
Footnotes (11)
- [F1]Stock units held for the benefit of reporting person as of December 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]Phantom Stock Units held for the benefit of reporting person as of December 31, 2013 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctation due to changes in stock price. Transaction reported reflects shares acquired for a quarterly allocation of dividend equivalents, allocated the last business day of the quarter.The amount of shares purchased was determined using the closing price of Humana stock on the dividend payable date of October 25, 2013.
- [F11]Restricted Stock Units granted to reporting person on 01/02/14. 100% of the award is vesting on 01/02/17.
- [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 02/20/13, vesting in three increments from 02/20/14 to 02/20/16.
- [F4]Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.
- [F5]Right to receive one share per restricted stock unit pursuant to the Company's 2011 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 2/17/11, 100% of the award is vesting on 2/17/14.
- [F8]Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
- [F9]Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.