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)
|
02/24/2014 |
Humana Common
|
18,000
|
$
21.275
|
D
|
Â
|
Options
(1)
|
Â
(3)
|
02/22/2014 |
Humana Common
|
4,605
|
$
62.1
|
D
|
Â
|
Options
(1)
|
Â
(4)
|
02/21/2015 |
Humana Common
|
6,063
|
$
69.475
|
D
|
Â
|
Options
(1)
|
Â
(5)
|
04/01/2015 |
Humana Common
|
17,673
|
$
45.975
|
D
|
Â
|
Options
(1)
|
Â
(6)
|
02/19/2016 |
Humana Common
|
6,981
|
$
41.83
|
D
|
Â
|
Options
(1)
|
Â
(7)
|
06/20/2019 |
Humana Common
|
5,411
|
$
79.655
|
D
|
Â
|
Restricted Stock Units
(8)
|
Â
(11)
|
Â
(11)
|
Humana Common
|
2,694
|
$
0.1667
(10)
|
D
|
Â
|
Restricted Stock Units
(8)
|
Â
(12)
|
Â
(12)
|
Humana Common
|
2,860
|
$
0.1667
(10)
|
D
|
Â
|
Restricted Stock Units
(9)
|
Â
(13)
|
Â
(13)
|
Humana Common
|
1,692
|
$
0
(10)
|
D
|
Â
|
Restricted Stock Units
(9)
|
Â
(14)
|
Â
(14)
|
Humana Common
|
1,883
|
$
0
(10)
|
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 2/24/04, 100% vested. |
(3) |
Non-Qualified stock options granted to reporting person on 2/22/07, 100% vested. |
(4) |
Non-Qualified stock options granted to reporting person on 2/21/08, 100% vested. |
(5) |
Non-Qualified stock options granted to reporting person on 4/1/08, vesting in three increments from 4/1/11 to 4/1/13. |
(6) |
Non-Qualified stock options granted to reporting person on 2/19/09, 100% vested. |
(7) |
Non-Qualified stock options granted to reporting person on 6/20/12, vesting in three increments from 6/20/13 to 6/20/15. |
(8) |
Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan. |
(9) |
Right to receive one share per restricted stock unit pursuant to the Company's 2011 Stock Incentive Plan. |
(10) |
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). |
(11) |
Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13. |
(12) |
Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14. |
(13) |
Restricted stock units granted to reporting person on 2/23/12, 100% of the award is vesting on 2/23/15. |
(14) |
Restricted stock units granted to reporting person on 6/20/12, 100% of the award is vesting on 6/20/15. |