-----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, O4Ae7q1+6ou/Byl3ZuU83GkPP3c5vfIA+s30Gcc7X1JP06Ogj0nsdowfJyhOwu/4 5oLaf0Vqw+nVTkOKlD3AXw== 0000049071-06-000054.txt : 20060622 0000049071-06-000054.hdr.sgml : 20060622 20060622154031 ACCESSION NUMBER: 0000049071-06-000054 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060621 FILED AS OF DATE: 20060622 DATE AS OF CHANGE: 20060622 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOODMAN BRUCE J CENTRAL INDEX KEY: 0001083933 STATE OF INCORPORATION: KY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 06919628 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 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 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-06-21 0000049071 HUMANA INC HUM 0001083933 GOODMAN BRUCE J HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr VP & Chief Serv. & Info. Of Humana Common 2006-06-21 4 G 0 1000 50.10 D 130224 D Humana Common 128 I See Footnote Options 11.625 2009-04-12 Humana Common 13692 13692 D Options 32.70 2012-02-24 Humana Common 80000 80000 D Options 12.995 2012-03-13 Humana Common 12305 12305 D Options 12.995 2012-03-13 Humana Common 6305 6305 D Options 12.515 2012-11-07 Humana Common 30000 30000 D Options 9.26 2013-03-13 Humana Common 16666 16666 D Options 21.275 2014-02-24 Humana Common 70000 70000 D Options 53.96 2013-02-23 Humana Common 47655 47655 D Phantom Stock Units Humana Common 6044 6044 I See Footnote Stock units held for the benefit of reporting person as of May 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). Exempt transfer of directly held shares by reporting person to a 501(c)(3) charitable trust - 16b-5. Charitable trust subsequently sold the stock. Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees. Incentive and Non-Qualified stock options granted to reporting person on 4/12/99, vesting in four increments each from 4/12/01 to 4/12/04. 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, and ISO's vesting on 3/13/05. Non-Qualified stock options granted to reporting person on 11/7/02, vesting in three increments from 11/7/03 to 11/7/05. 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 the 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 May 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). Bruce J. Goodman 2006-06-22 -----END PRIVACY-ENHANCED MESSAGE-----