-----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, UfQLme2V/R773jwTsxpxErKah/gmMsDprMI5BtlmcrA37oXAuKHcE3xGe1PYHvFw XGU1NlawGF0elZEFeOWP6Q== 0000049071-06-000123.txt : 20061206 0000049071-06-000123.hdr.sgml : 20061206 20061206112732 ACCESSION NUMBER: 0000049071-06-000123 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061205 FILED AS OF DATE: 20061206 DATE AS OF CHANGE: 20061206 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: MARGULIS HEIDI S CENTRAL INDEX KEY: 0001103605 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 061259297 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 W. MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-12-05 0000049071 HUMANA INC HUM 0001103605 MARGULIS HEIDI S HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Senior V.P.-Gov. Relations Humana Common 2006-12-05 4 M 0 9170 15.5938 A 33161 D Humana Common 2006-12-05 4 F 0 2191 54.18 D 30970 D Humana Common 2006-12-05 4 S 0 6800 0 D 24170 D Humana Common 6710 I See Footnote Options 15.5938 2006-12-05 4 M 0 9170 15.5938 D 2000-01-09 2007-01-09 Humana Common 9170 0 D Options 15.5938 2001-01-15 2008-01-15 Humana Common 8700 8700 D Options 15.5938 1999-09-17 2008-09-17 Humana Common 6090 6090 D Options 19.25 2002-01-15 2009-01-15 Humana Common 10000 10000 D Options 9.5938 2002-09-09 2009-09-09 Humana Common 15000 15000 D Options 32.70 2012-02-24 Humana Common 13400 13400 D Options 9.26 2013-03-13 Humana Common 10000 10000 D Options 21.275 2014-02-24 Humana Common 15000 15000 D Options 53.96 2013-02-23 Humana Common 5713 5713 D Phantom Stock Units Humana Common 346 346 I See Footnote Shares held for reporting person's benefit as of November 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). Reporting person sold shares at prices between $54.32 and $54.36. Right to buy pursuant to Humana Inc.'s 1996 Stock Incentive Plan for Employees. Stock Options granted to reporting person on 3/13/03 vesting in thirds from 3/13/04 to 3/13/06. Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan. Non-Qualified and Incentive 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, 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 November 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). Heidi S. Margulis 2006-12-06 -----END PRIVACY-ENHANCED MESSAGE-----