-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RuXRQ4guWzJDdU/45kaWbsBW/8dHzPDeKpdvJssWWIgNSKy8t+7DGCSyjY3vcaDo Wp7C+uqKHczcnmfMsKb/yQ== 0000049071-06-000042.txt : 20060515 0000049071-06-000042.hdr.sgml : 20060515 20060515114705 ACCESSION NUMBER: 0000049071-06-000042 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060512 FILED AS OF DATE: 20060515 DATE AS OF CHANGE: 20060515 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HUMANA INC CENTRAL INDEX KEY: 0000049071 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 610647538 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 W. MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 FORMER COMPANY: FORMER CONFORMED NAME: EXTENDICARE INC DATE OF NAME CHANGE: 19740404 FORMER COMPANY: FORMER CONFORMED NAME: HERITAGE HOUSE OF AMERICA INC DATE OF NAME CHANGE: 19671129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MURRAY JAMES E CENTRAL INDEX KEY: 0001018658 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 06838050 BUSINESS ADDRESS: BUSINESS PHONE: 5025803778 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-05-12 0000049071 HUMANA INC HUM 0001018658 MURRAY JAMES E HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Chief Operating Officer Humana Common 2006-05-12 4 G 0 359 44.60 D 231619 D Humana Common 7361 I See Footnote Humana Common 20248 I See Footnote Options 15.5938 2000-01-09 2007-01-09 Humana Common 59605 59605 D Options 15.5938 2001-01-15 2008-01-15 Humana Common 34800 34800 D Options 19.25 2002-01-15 2009-01-15 Humana Common 30000 30000 D Options 7.4688 2002-11-18 2009-11-18 Humana Common 100000 100000 D Options 32.70 2012-02-24 Humana Common 110000 110000 D Options 12.995 2005-03-13 2012-03-13 Humana Common 20000 20000 D Options 9.26 2006-03-13 2013-03-13 Humana Common 50000 50000 D Options 21.275 2014-02-24 Humana Common 85000 85000 D Options 53.96 2013-02-23 Humana Common 84720 84720 D Phantom Stock Units Humana Common 13994 13994 I See Footnote Shares held by reporting person's spouse. Stock units held for the benefit of reporting person as of April 30, 2006 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) Right to buy pursuant to Company's 1996 Stock Incentive Plan for Employees. Incentive and Non-Qualified Stock Options were granted to reporting person on 9/17/98 vesting in two increments, 9/17/99 and 1/9/00. Incentive and Non-Qualified Stock Options were granted to reporting person on 9/17/98 vesting in three increments each from 9/17/99 to 1/15/01. Incentive and Non-Qualified Stock Options were granted to reporting person on 1/15/99 vesting in three increments each from 1/15/00 to 1/15/02. Non-Qualified Stock Options were granted to reporting person on 11/18/99 vesting in three increments from 11/18/00 to 11/18/02. Incentive Stock Options were granted to reporting person on 3/13/02 vesting in thirds from 3/13/03 to 3/13/05. Incentive and Non-Qualified Stock Options were granted to reporting person on 3/13/03 vesting in three increments each from 3/13/04 to 3/13/06. Right to buy pursuant to Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified Stock Options were granted to reporting person on 2/24/04 vesting in three increments from 2/24/05 to 2/24/07, and ISO's vesting on 02/24/07. Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, NQ options vesting in three increments from 2/24/06 to 2/24/08, and ISO's vesting on 2/24/08. Incentive and Non-Qualified stock options granted to reporting person on 2/23/06, NQ options vesting in three increments from 2/23/07 to 2/23/09, and ISO's vesting on 2/23/09. Phantom Stock Units held for the benefit of reporting person as of April 30 2006, 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). James E. Murray 2006-05-15 -----END PRIVACY-ENHANCED MESSAGE-----