-----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, PoLqDrJ8r927BwP28M9Emu72c0iCY/VG4OImL6qtSihucF5o7fQKVSiorKB/mky6 nDSnax89VoM5MxBCL19V0g== 0000049071-07-000023.txt : 20070226 0000049071-07-000023.hdr.sgml : 20070226 20070226162307 ACCESSION NUMBER: 0000049071-07-000023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070226 FILED AS OF DATE: 20070226 DATE AS OF CHANGE: 20070226 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: 07649512 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 2007-02-26 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 2007-02-26 4 M 0 2570 53.96 A 55418 D Humana Common 2007-02-26 4 M 0 7433 32.70 A 62851 D Humana Common 2007-02-26 4 M 0 5000 21.275 A 67851 D Humana Common 2007-02-26 4 S 0 10303 60.6388 D 57548 D Humana Common 1965 I See Footnote Options 32.70 2007-02-26 4 M 0 7433 32.70 D 2012-02-24 Humana Common 7433 7433 D Options 21.275 2007-02-26 4 M 0 5000 21.275 D 2014-02-24 Humana Common 5000 0 D Options 53.96 2007-02-23 4 M 0 2570 53.96 D 2013-02-23 Humana Common 2570 5139 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). 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 2007-02-26 -----END PRIVACY-ENHANCED MESSAGE-----