-----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, M262bK8gSg3S0SOMXxn1MVGZ8FB2285ggpJa6WVcgt7y5mWGIVPOvpbeEV2/tkQG EfmS1H/SGGSHnHZJ5tWO+A== 0000049071-06-000044.txt : 20060522 0000049071-06-000044.hdr.sgml : 20060522 20060522181157 ACCESSION NUMBER: 0000049071-06-000044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060522 FILED AS OF DATE: 20060522 DATE AS OF CHANGE: 20060522 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: MCCALLISTER MICHAEL B CENTRAL INDEX KEY: 0001018657 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 06859745 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 2006-05-22 0000049071 HUMANA INC HUM 0001018657 MCCALLISTER MICHAEL B HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 1 1 0 0 President & CEO Humana Common 2006-05-22 4 M 0 135000 15.625 A 420846 D Humana Common 2006-05-22 4 F 0 44221 47.70 D 376625 D Humana Common 2006-05-22 4 F 0 40187 48.08 D 336438 D Humana Common 13869 I See Footnote Humana Common 14786 I See Footnote Humana Common 2396 I See Footnote Humana Common 38264 I See Footnote Options 15.625 2006-05-22 4 M 0 135000 15.625 D 2006-07-11 Humana Common 135000 0 D Options 15.5938 2007-01-09 Humana Common 18340 18340 D Options 15.5938 2007-07-10 Humana Common 30480 30480 D Options 15.5938 2008-01-15 Humana Common 24800 24800 D Options 19.25 2009-01-15 Humana Common 30000 30000 D Options 7.4688 2009-11-18 Humana Common 100000 100000 D Options 6.9063 2010-02-11 Humana Common 500000 500000 D Options 32.70 2012-02-24 Humana Common 250000 250000 D Options 12.995 2012-03-13 Humana Common 50000 50000 D Options 9.26 2013-03-13 Humana Common 200000 200000 D Options 21.275 2014-02-24 Humana Common 200000 200000 D Options 53.96 2013-02-23 Humana Common 150000 150000 D Phantom Stock Units Humana Common 1150 1150 I See Footnote Shares held in a trust for the benefit of reporting person's spouse. Shares held in a trust for the benefit of reporting person. Shares held in a trust for the benefit of reporting person's minor children. Shares 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, both exempt under Rule 16b-3(c). Right to buy pursuant to Company's 1996 Stock Incentive Plan for Employees. Non-qualified stock options granted to reporting person on 7/11/96 vesting in three increments from 7/11/97 to 7/11/99. Non-qualified stock options granted to reporting person on 9/17/98 vesting in two increments on 9/17/99 and 1/9/00. Non-qualified stock options granted to reporting person on 9/17/98 vesting in two increments on 9/17/99 and 7/10/00. Incentive and Non-qualified stock options 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 granted to reporting person on 1/15/99 vesting in three increments from 1/15/00 to 1/15/02. Non-qualified stock options granted to reporting person on 11/18/99 vesting in three increments from 11/18/00 to 11/18/02. Incentive and Non-qualified stock options granted to reporting person on 2/11/00, NQ options vesting in three increments from 2/11/01 to 2/11/03, and ISO's vesting on 2/11/03. Incentive and Non-qualified stock options granted to reporting person on 3/13/02, NQ options vesting in three increments from 3/13/03 to 3/13/05, ISO's vesting in two increments on 3/13/04 and 3/13/05. Incentive and Non-qualified stock options granted to reporting person on 3/13/03, NQ options vesting in three increments from 3/13/04 to 3/13/06, and ISO's vesting on 3/13/06. Right to buy pursuant to Company's 2003 Stock Incentive Plan. Incentive and Non-qualified stock options granted to reporting person on 2/24/04, NQ options vesting in three increments from 2/24/05 to 2/24/07, and ISO's vesting on 2/24/07. 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 exempt under Rule 16b-3(c and d). Michael B. McCallister 2006-05-22 -----END PRIVACY-ENHANCED MESSAGE-----