HUMANA INC 4

Accession 0000049071-14-000041

$HUMCIK 0000049071operating

View on SEC.gov Company Profile

Filed

Feb 18, 7:00 PM ET

Accepted

Feb 19, 5:37 PM ET

Size

25.8 KB

Accession

0000049071-14-000041

Insider Transaction Report

Form 4

Period: 2014-02-17

HUMANA INCHUM

LISTON THOMAS J

Sr VP-Senior Products

Transactions

Exercise/Conversion
Humana Common
2014-02-17$0.17/sh+5,721$954→ 107,444 total
Exercise/Conversion
Restricted Stock Units
2014-02-17$0.17/sh−5,721$954→ 0 total
→ Humana Common (5,721 underlying)
Tax Payment
Humana Common
2014-02-17$99.23/sh−2,001$198,569→ 105,443 total
Award
Options
2014-02-18+7,264→ 7,264 total
Exercise: $102.16Exp: 2021-02-18→ Humana Common (7,264 underlying)
Award
Restricted Stock Units
2014-02-18+1,591→ 1,591 total
→ Humana Common (1,591 underlying)

Holdings

Humana Common
(indirect: See Footnote)
10,098
Restricted Stock Units
→ Humana Common (1,683 underlying)
1,683
Restricted Stock Units
→ Humana Common (2,059 underlying)
2,059
Options
Exercise: $45.98Exp: 2015-04-01→ Humana Common (11,995 underlying)
11,995
Options
Exercise: $72.84Exp: 2020-02-20→ Humana Common (6,240 underlying)
6,240
Options
Exercise: $41.83Exp: 2016-02-19→ Humana Common (2,688 underlying)
2,688
Options
Exercise: $89.14Exp: 2019-04-25→ Humana Common (4,661 underlying)
4,661
Restricted Stock Units
→ Humana Common (5,640 underlying)
5,640

Footnotes (17)

[F1]Shares held for the benefit of reporting person as of January 31, 2014 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
[F10]Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan.
[F11]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).
[F12]Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
[F13]Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15.
[F14]Restricted stock units granted to reporting person on 4/25/12, 100% of the award is vesting on 4/25/15.
[F15]Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
[F16]Restricted stock units granted to reporting person on 2/18/14, 100% of the award is vesting on 2/18/17.
[F17]The Form 4 is additionally being filed to notify that effective February 19, 2014, the reporting person is no longer designated as an Officer, and is no longer subject to Section 16.
[F2]Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
[F3]Right to buy pursuant to the Company's 2011 Stock Incentive Plan.
[F4]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.
[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 2/19/10 to 2/19/12.
[F6]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.
[F7]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.
[F8]Incentive and Non-Qualified stock options granted to reporting person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17.
[F9]Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan.

Documents

1 file

4
edgar.xmlPrimary
PRIMARY DOCUMENT

Issuer

HUMANA INC

CIK 0000049071

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0000049071

Filing Metadata

Form type: 4
Filed: Feb 18, 7:00 PM ET
Accepted: Feb 19, 5:37 PM ET
Size: 25.8 KB

View on SEC.gov