-----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, OQk2d8TzHXe+6xdRy87Ww9tVBOE1vanZ4cjylDVhdm5rQIIoKMTthKBRd69NnzLs 1X92d7ex4MadcxmaFglOdA== 0000049071-07-000045.txt : 20070328 0000049071-07-000045.hdr.sgml : 20070328 20070328162105 ACCESSION NUMBER: 0000049071-07-000045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070326 FILED AS OF DATE: 20070328 DATE AS OF CHANGE: 20070328 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: LORD JONATHAN T MD CENTRAL INDEX KEY: 0001112980 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 07724489 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 WEST MAIN ST. CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-03-26 0000049071 HUMANA INC HUM 0001112980 LORD JONATHAN T MD HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr VP & Chief Innovation Off. Humana Common 2007-03-26 4 M 0 14610 12.995 A 90880 D Humana Common 2007-03-26 4 M 0 53600 21.275 A 147180 D Humana Common 2007-03-26 4 M 0 4700 21.275 A 151880 D Humana Common 2007-03-26 4 F 0 1644 60.79 D 150236 D Humana Common 2007-03-26 4 S 0 70910 0 D 79326 D Humana Common 2007-03-26 4 I 0 1168 0 D 0 I See Footnote Options 32.70 2012-02-24 Humana Common 75000 75000 D Options 12.995 2007-03-26 4 M 0 14610 12.995 D 2012-03-13 Humana Common 14610 0 D Options 21.275 2007-03-26 4 M 0 61000 21.275 D 2014-02-24 Humana Common 61000 9000 D Options 53.96 2013-02-23 Humana Common 47655 47655 D Options 62.10 2014-02-22 Humana Common 38062 38062 D Discretionary transaction in accordance with Rule 16b-3(f) resulting in the disposition of issuer securities held for the benefit of reporting person under the Humana Retirement & Savings Plan. Reporting person sold shares at prices between $60.75 and $61.25. Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees. Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, NQ options vesting in three increments from 3/13/03 to 3/13/05, and ISO's vesting in two increments on 3/13/04 and 3/13/05. 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. Jonathan T. Lord, M.D. 2007-03-27 -----END PRIVACY-ENHANCED MESSAGE-----