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)
|
04/01/2015 |
Humana Common
|
23,706
|
$
45.975
|
D
|
Â
|
Options
(2)
|
Â
(4)
|
02/19/2016 |
Humana Common
|
5,818
|
$
41.83
|
D
|
Â
|
Restricted Stock Units
(5)
|
Â
(6)
|
Â
(6)
|
Humana Common
|
3,772
|
$
0.1667
(7)
|
D
|
Â
|
Restricted Stock Units
(5)
|
Â
(8)
|
Â
(8)
|
Humana Common
|
6,048
|
$
0.1667
(7)
|
D
|
Â
|
Restricted Stock Units
(5)
|
Â
(9)
|
Â
(9)
|
Humana Common
|
5,475
|
$
0.1667
(7)
|
D
|
Â
|
Phantom Stock Units
|
Â
(10)
|
Â
(10)
|
Humana Common
|
164
|
$
(10)
|
I
|
See Footnote
(10)
|
* |
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) |
Shares held for the benefit of reporting person as of July 29, 2011 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). |
(2) |
Right to buy pursuant to the Humana's 2003 Stock Incentive Plan. |
(3) |
Non-Qualified stock options granted to reporting person on 4/1/08, vesting in three increments from 4/1/11 to 4/1/13. |
(4) |
Non-qualified stock options granted to reporting person on 2/19/09, vesting in three increments from 2/19/10 to 2/19/12. |
(5) |
Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan. |
(6) |
Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13. |
(7) |
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). |
(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 6/29/11, 100% of the award is vesting on 6/29/14. |
(10) |
Phantom Stock Units held for the benefit of reporting person as of July 29, 2011 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan exempt under Rule 16b-3(c and d). |