1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Options
(2)
|
Â
(3)
|
06/20/2019 |
Humana Common
|
5,411
|
$
79.655
|
D
|
Â
|
Restricted Stock Units
(4)
|
Â
(7)
|
Â
(7)
|
Humana Common
|
5,927
|
$
0.1667
(6)
|
D
|
Â
|
Restricted Stock Units
(4)
|
Â
(8)
|
Â
(8)
|
Humana Common
|
7,355
|
$
0.1667
(6)
|
D
|
Â
|
Restricted Stock Units
(5)
|
Â
(9)
|
Â
(9)
|
Humana Common
|
6,768
|
$
0
(6)
|
D
|
Â
|
Restricted Stock Units
(5)
|
Â
(10)
|
Â
(10)
|
Humana Common
|
1,883
|
$
0
(6)
|
D
|
Â
|
Phantom Stock Units
|
Â
(11)
|
Â
(11)
|
Humana Common
|
356
|
$
(11)
|
I
|
See Footnote
(11)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Stock units held for the benefit of reporting person as of September 30, 2012 under the Humana Retirement & Savings Plan, including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan. All transactions are exempt under Rule 16b-3(c). |
(2) |
Right to buy pursuant to the Humana's 2003 Stock Incentive Plan. |
(3) |
Non-Qualified stock options granted to reporting person on 6/20/12, vesting in three increments from 6/20/13 to 6/20/15. |
(4) |
Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan. |
(5) |
Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan. |
(6) |
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). |
(7) |
Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13. |
(8) |
Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14. |
(9) |
Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15. |
(10) |
Restricted stock units granted to reporting person on 6/20/12, 100% of the award is vesting on 6/20/15. |
(11) |
Phantom Stock Units held for the benefit of reporting person as of September 30, 2012 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan. All transactions are exempt under Rule 16b-3(c and d). |