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
(1)
|
Â
(2)
|
08/27/2016 |
Humana Common
|
1,667
|
$
36.52
|
D
|
Â
|
Options
(1)
|
Â
(3)
|
02/23/2019 |
Humana Common
|
3,971
|
$
88.6475
|
D
|
Â
|
Restricted Stock Units
(4)
|
Â
(7)
|
Â
(7)
|
Humana Common
|
1,635
|
$
0.1667
(6)
|
D
|
Â
|
Restricted Stock Units
(5)
|
Â
(8)
|
Â
(8)
|
Humana Common
|
3,130
|
$
0
(6)
|
D
|
Â
|
* |
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) |
Right to buy pursuant to the Humana's 2003 Stock Incentive Plan. |
(2) |
Non-Qualified stock options granted to reporting person on 8/27/09, 100% vested. |
(3) |
Non-qualified stock options granted to reporting person on 2/23/12, vesting in three increments from 2/23/13 to 2/23/15. |
(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 2/17/11, 100% of the award is vesting on 2/17/14. |
(8) |
Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15. |