-----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, Cwt8lg5qgZszBgbIlD23mOWBHyuXeg+/tMaJxrpl6EVdoWwwZPlC2mY0hBnFoUwz /DLpGdfRJpM93jFUXYJhrQ== 0000049071-06-000103.txt : 20060915 0000049071-06-000103.hdr.sgml : 20060915 20060915135757 ACCESSION NUMBER: 0000049071-06-000103 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060913 FILED AS OF DATE: 20060915 DATE AS OF CHANGE: 20060915 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: MOYA STEVEN O CENTRAL INDEX KEY: 0001131361 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 061093005 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-09-13 0000049071 HUMANA INC HUM 0001131361 MOYA STEVEN O HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr. VP-Chief Marketing Officer Humana Common 2006-09-13 4 M 0 21667 32.70 A 44099 D Humana Common 2006-09-13 4 M 0 34320 21.275 A 78419 D Humana Common 2006-09-13 4 M 0 16218 9.26 A 94637 D Humana Common 2006-09-13 4 M 0 10000 12.995 A 104637 D Humana Common 2006-09-13 4 M 0 43000 14.9375 A 147637 D Humana Common 2006-09-13 4 S 0 125205 0 D 22432 D Humana Common 2006-09-14 4 M 0 5000 12.995 A 27432 D Humana Common 2006-09-14 4 M 0 13782 9.26 A 41214 D Humana Common 2006-09-14 4 F 0 2929 65.745 D 38285 D Humana Common 1187 I See Footnote Options 14.9375 2006-09-13 4 M 0 43000 14.9375 D 2011-01-03 Humana Common 43000 0 D Options 32.70 2006-09-13 4 M 0 21667 32.70 D 2012-02-24 Humana Common 21667 43333 D Options 12.995 2006-09-13 4 M 0 10000 12.995 D 2012-03-13 Humana Common 10000 5000 D Options 12.995 2006-09-14 4 M 0 5000 12.995 D 2012-03-13 Humana Common 5000 0 D Options 9.26 2006-09-13 4 M 0 16218 9.26 D 2013-03-13 Humana Common 16218 13782 D Options 9.26 2006-09-14 4 M 0 13782 9.26 D 2013-03-13 Humana Common 13782 0 D Options 21.275 2006-09-13 4 M 0 34320 21.275 D 2014-02-24 Humana Common 34320 17680 D Options 53.96 2013-02-23 Humana Common 47655 47655 D Shares held in a trust account. Reporting person sold shares at prices between $65.20 and $65.75. Shares held for reporting person's benefit as of August 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. Stock options granted to reporting person on 1/3/01 to vest as follows: 29,918 non-qualified stock options to vest in thirds on 1/3/02,1/3/03 and1/3/04, respectively, and 20,082 incentive stock options to vest in thirds on 1/3/02,1/3/03 and 1/3/04, respectively. Stock options granted to reporting person on 3/13/02 to vest as follows: 10,000 non-qualified stock options, one-half vesting on 3/13/03 and 3/13/04, respectively, and 5,000 incentive stock options to vest on 3/13/05. Stock options granted to reporting person on 3/13/03 to vest as follows: 16,218 non-qualified stock options to vest in two increments - 10,000 on 3/13/04 and 6,218 on 3/13/05, and 13,782 incentive stock options to vest in two increments, 3,782 on 3/13/05 and 10,000 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 ISOs vesting in two increments on 2/24/06 and 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. Steven O. Moya 2006-09-14 -----END PRIVACY-ENHANCED MESSAGE-----