-----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, Mu970Lb7EMcXf9Ii0FhC/KHfB5s91cko/bQMm3jeAjH/T7myrRRZJQNSI49mTPnM GX0fmouo9NjaPwqvnL+lyg== 0000049071-06-000087.txt : 20060829 0000049071-06-000087.hdr.sgml : 20060829 20060829151049 ACCESSION NUMBER: 0000049071-06-000087 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060828 FILED AS OF DATE: 20060829 DATE AS OF CHANGE: 20060829 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McCulley Steven E CENTRAL INDEX KEY: 0001301372 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 061062251 BUSINESS ADDRESS: BUSINESS PHONE: 502-580-1000 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 2006-08-28 1 0000049071 HUMANA INC HUM 0001301372 McCulley Steven E HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Vice President & Controller Humana Inc. 2006-08-28 4 M 0 13333 9.26 A 29409 D Humana Inc. 2006-08-28 4 S 0 13333 0 D 16076 D Humana Inc. 2006-08-28 4 M 0 3058 32.70 A 13018 D Humana Inc. 2006-08-28 4 F 0 1635 61.125 D 17499 D Humana Inc. 681 I See Footnote Options 32.70 2006-08-28 4 M 0 3058 32.70 D 2012-02-24 Humana Common 3058 14842 D Options 9.26 2006-08-28 4 M 0 13333 9.26 D Humana Common 13333 0 D Options 21.275 Humana Common 15000 15000 D Options 53.96 2013-02-23 Humana Common 7709 7709 D Phantom Stock Units Humana Common 7 7 I See Footnote Reporting person sold shares at prices between $61.39 and $61.48. Stock units held for the benefit of reporting person as of July 31, 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 the Company's 1996 Stock Incentive Plan for Employees. Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan. Non-qualified stock options granted to reporting person on 3/13/03, vesting in three increments from 3/13/04 to 3/13/06. Non-qualified stock options granted to reporting person on 2/24/04, vesting in three increments from 2/24/05 to 2/24/07. Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, both vesting in three increments from 2/24/06 to 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 July 31, 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). Steven E. McCulley 2006-08-29 -----END PRIVACY-ENHANCED MESSAGE-----