-----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, CdIDaDqixlcVBF2CED8uUk4w5SNiefRBlMXLLeMOkq9tPZvoxpR9TqRZMaG5CSIS fB7sAABW+Ixz37oBPqXA1g== 0000049071-07-000039.txt : 20070319 0000049071-07-000039.hdr.sgml : 20070319 20070319160946 ACCESSION NUMBER: 0000049071-07-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070315 FILED AS OF DATE: 20070319 DATE AS OF CHANGE: 20070319 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: GOODMAN BRUCE J CENTRAL INDEX KEY: 0001083933 STATE OF INCORPORATION: KY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 07703502 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-03-15 0000049071 HUMANA INC HUM 0001083933 GOODMAN BRUCE J HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr VP & Chief Serv. & Info. Of Humana Common 2007-03-15 4 M 0 10000 21.275 A 81829 D Humana Common 2007-03-15 4 S 0 10000 59.00 D 71829 D Humana Common 2007-03-19 4 M 0 15000 21.275 A 86829 D Humana Common 2007-03-19 4 S 0 5000 59.00 D 81829 D Humana Common 2007-03-19 4 S 0 4100 59.25 D 77729 D Humana Common 2007-03-19 4 S 0 900 59.26 D 76829 D Humana Common 2007-03-19 4 S 0 5000 59.17 D 71829 D Humana Common 128 I See Footnote Options 11.625 2009-04-12 Humana Common 13692 13692 D Options 32.70 2012-02-24 Humana Common 80000 80000 D Options 9.26 2013-03-13 Humana Common 5799 5799 D Options 21.275 2007-03-15 4 M 0 10000 21.275 D 2014-02-24 Humana Common 10000 33900 D Options 21.275 2007-03-19 4 M 0 15000 21.275 D 2014-02-24 Humana Common 15000 18900 D Options 53.96 2013-02-23 Humana Common 47655 47655 D Options 62.10 2014-02-22 Humana Common 38062 38062 D Phantom Stock Units Humana Common 6024 6024 D Stock units held for the benefit of reporting person as of February 28, 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 1996 Stock Incentive Plan for Employees. Incentive & Non-Qualified stock options granted to reporting person on 4/12/99, vesting in four increments each from 4/12/01 to 4/12/04. Incentive and Non-Qualified stock options granted to reporting person on 3/13/03, NQ options vesting in three increments from 3/13/04 to 3/13/06, and ISO's vesting 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 ISO's vesting on 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. Incentive and Non-Qualified stock options granted to reporting person on 2/22/07, NQ options vesting in three increments from 2/22/08 to 2/22/10, and ISO's vesting on 2/22/10. Phantom Stock Units held for the benefit of reporting person as of February 28, 2007 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). Bruce J. Goodman 2007-03-19 -----END PRIVACY-ENHANCED MESSAGE-----