-----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, Bu3cAKYedR+H7pXnA8SYZIZ2pKEiESSUxvra8bBdCFMI3NdYuDS1/ZsR/U6zzR3U 20qHc4HcKhvx/SdOxlEyPw== 0000049071-07-000083.txt : 20070806 0000049071-07-000083.hdr.sgml : 20070806 20070806150815 ACCESSION NUMBER: 0000049071-07-000083 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070802 FILED AS OF DATE: 20070806 DATE AS OF CHANGE: 20070806 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: MURRAY JAMES E CENTRAL INDEX KEY: 0001018658 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 071027658 BUSINESS ADDRESS: BUSINESS PHONE: 5025803778 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-08-02 0000049071 HUMANA INC HUM 0001018658 MURRAY JAMES E HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Chief Operating Officer Humana Common 2007-08-02 4 M 0 24806 19.25 A 118710 D Humana Common 2007-08-02 4 S 0 3700 66.50 D 115010 D Humana Common 2007-08-02 4 S 0 1400 66.51 D 113610 D Humana Common 2007-08-02 4 S 0 600 66.52 D 113010 D Humana Common 2007-08-02 4 S 0 6000 66.60 D 107010 D Humana Common 2007-08-02 4 S 0 300 66.62 D 106710 D Humana Common 2007-08-02 4 S 0 200 66.63 D 106510 D Humana Common 2007-08-02 4 S 0 100 66.66 D 106410 D Humana Common 2007-08-02 4 S 0 100 66.61 D 106310 D Humana Common 2007-08-02 4 S 0 800 66.65 D 105510 D Humana Common 2007-08-02 4 S 0 300 66.67 D 105210 D Humana Common 2007-08-02 4 S 0 500 66.68 D 104710 D Humana Common 2007-08-02 4 S 0 2400 66.70 D 102310 D Humana Common 2007-08-02 4 S 0 100 66.69 D 102210 D Humana Common 2007-08-02 4 S 0 3900 66.25 D 98310 D Humana Common 2007-08-02 4 S 0 1200 66.26 D 97110 D Humana Common 2007-08-02 4 S 0 2100 66.27 D 95010 D Humana Common 2007-08-02 4 S 0 200 66.28 D 94810 D Humana Common 2007-08-02 4 S 0 700 66.29 D 94110 D Humana Common 2007-08-02 4 S 0 206 66.30 D 93904 D Humana Common 2005-12-31 4 G 0 1173 0 D 92731 D Humana Common 2007-08-03 4 M 0 83008 0 A 175739 D Humana Common 2007-08-03 4 F 0 15144 0 D 160595 D Humana Common 2007-08-03 4 F 0 26645 0 D 133980 D Humana Common 2005-12-31 4 G 0 1173 0 D 6188 I See Footnote Humana Common 2005-12-31 4 G 0 782 0 A 782 I See Footnotes Humana Common 2007-08-02 4 S 0 88400 0 D 0 I See Footnote Humana Common 20811 I See Footnote Options 15.5938 2007-08-03 4 M 0 22800 15.5938 D 2001-01-15 2008-01-15 Humana Common 22800 0 D Options 19.25 2007-08-02 4 M 0 24806 19.25 D 2002-01-15 2009-01-15 Humana Common 24806 5194 D Options 19.25 2007-08-03 4 M 0 5194 19.25 D 2002-01-15 2009-01-15 Humana Common 5194 0 D Options 7.4688 2007-08-03 4 M 0 14000 7.4688 D 2002-11-18 2009-11-18 Humana Common 14000 86000 D Options 32.70 2012-02-24 Humana Common 110000 110000 D Options 12.995 2005-03-13 2012-03-13 Humana Common 20000 20000 D Options 9.26 2007-08-03 4 M 0 36314 9.26 D 2006-03-13 2013-03-13 Humana Common 36314 13686 D Options 21.275 2014-02-24 Humana Common 85000 85000 D Options 21.275 2007-08-03 4 M 0 4700 21.275 D 2014-02-24 Humana Common 4700 80300 D Options 53.96 2013-02-23 Humana Common 84720 84720 D Options 62.10 2014-02-22 Humana Common 67042 67042 D Phantom Stock Units Humana Common 15627 15627 I See Footnote Shares held by reporting person's spouse. Shares held by reporting person's child. See Footnote 6. Reporting person and his spouse gifted shares to each of their 3 children in 2005 and 2006 totalling 782 shares in the aggregate which previously was not reported on a Form 4. Therefore, both the direct and indirect ownership of reporting person and spouse were reduced by 1,173 shares. None of these shares were sold by the children during this time. Reporting person sold 88,400 shares as follows: 10,275 @ $66.25; 9,600 @ $66.5; 600 @ $66.52; 2,600 @ $66.51; 6,300 @ $66.60; 200 @ $66.62; 200 @ $66.63; 800 @ $66.65; 300 @ $66.67; 200 @ $66.68; 2,706 @ $66.70; 100 @ $66.69; 2,694 @ $66.30; 2,500 @ $66.31; 1,100 @ $66.32; 100 @ $66.33; 632 @ $66.34; 4,000 @ $66.35; 700 @ $66.36; 800 @ $66.37; 300 @ $66.38; 33,568 @ $66.40; 1,600 @ $66.41; 500 @ $66.43; 1,300 @ $66.44; 100 @ $66.42; 400 @ $66.45; 2,125 @ $66.27; 700 @ $66.26; 500 @ $66.28; and 900 @ $66.29. Shares held by James E. Murray 2006 GRAT of which reporting person is the Grantor and Trustee. Reporting person disclaims beneficial ownership of Company stock held by the GRAT except to the extent of his pecuniary interest. Stock units held for the benefit of reporting person as of June 30, 2007 under the Humana Retirement & Savings Plan, including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan. All transactions are exempt under Rule 16b-3(c). Stock options exercised on 8/3/07 as follows: 36,314 @ $9.26 p/share; 22,800 @ $15.5938; 14,000 @ $7.4688; 4,700 @ $21.275 and 5,194 @ $19.25. Shares swapped to pay for purchase of options listed in footnote 7. Shares traded to pay for taxes due on stock option exercise listed in footnote 7. Right to buy pursuant to Company's 1996 Stock Incentive Plan for Employees. Incentive and Non-Qualified Stock Options were granted to reporting person on 9/17/98 vesting in three increments each from 9/17/99 to 1/15/01. Incentive and Non-Qualified Stock Options were granted to reporting person on 1/15/99 vesting in three increments each from 1/15/00 to 1/15/02. Non-Qualified Stock Options were granted to reporting person on 11/18/99 vesting in three increments from 11/18/00 to 11/18/02. Incentive Stock Options were granted to reporting person on 3/13/02 vesting in thirds from 3/13/03 to 3/13/05. Incentive and Non-Qualified Stock Options were granted to reporting person on 3/13/03 vesting in three increments each from 3/13/04 to 3/13/06. Right to buy pursuant to Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified Stock Options were granted to reporting person on 2/24/04 vesting in three increments from 2/24/05 to 2/24/07, and ISO's vesting on 02/24/07. 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 June 30, 2007, based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan. All transactions are exempt under Rule 16b-3(c and d). James E. Murray 2007-08-06 -----END PRIVACY-ENHANCED MESSAGE-----