-----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, Swf4g7WJ6FsqtQLyZhJ1Rkf4TOnmJUTWUOTgFxZiTi/UUdlx9lYoOpjpV9WzLgYo Ilf2iiMrG4EPkbjeNrasAw== 0000049071-07-000020.txt : 20070214 0000049071-07-000020.hdr.sgml : 20070214 20070214181250 ACCESSION NUMBER: 0000049071-07-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070213 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERTKO JOHN M CENTRAL INDEX KEY: 0001109306 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 07624183 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 WEST MAIN ST 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 2007-02-13 0000049071 HUMANA INC HUM 0001109306 BERTKO JOHN M HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Vice President & Chief Actuary Humana Common 2007-02-13 4 M 0 7434 32.70 A 73282 D Humana Common 2007-02-13 4 M 0 1092 9.26 A 74374 D Humana Common 2007-02-13 4 M 0 8202 21.275 A 82576 D Humana Common 2007-02-13 4 M 0 50000 7.4688 A 132576 D Humana Common 2007-02-13 4 S 0 13000 0 D 119576 D Humana Common 2007-02-13 4 S 0 66728 60.0814 D 52848 D Humana Common 1965 I See Footnote Options 7.4688 2007-02-13 4 M 0 50000 7.4688 D 2009-11-18 Humana Common 50000 0 D Options 32.70 2007-02-13 4 M 0 7434 32.70 D 2012-02-24 Humana Common 7434 14866 D Options 9.26 2007-02-13 4 M 0 1092 9.26 D 2013-03-13 Humana Common 1092 0 D Options 21.275 2007-02-13 4 M 0 8202 21.275 D 2014-02-24 Humana Common 8202 5000 D Options 53.96 2013-02-23 Humana Common 7709 7709 D Shares held for reporting person's benefit as of January 31, 2007 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 $59.99 and $60.45. Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees. Non-qualified stock options granted to reporting person on 11/18/99 vesting in four increments from 11/18/01 to 11/18/04. Incentive and Non-qualified stock options granted to reporting person on 3/13/03, NQ options vesting in two increments on 3/13/04 and 3/13/05, and ISO's to vest in three increments from 3/13/04 to 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 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. John M. Bertko 2007-02-14 -----END PRIVACY-ENHANCED MESSAGE-----