-----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, H994p8+jA3UkhL1Nxa85wqmz9qvdROr4yL6DYXrULBH1PDD2SlRUknnHGRiP5lPd SU9cX6/fkTiSUi2aLpbPvQ== 0000049071-07-000107.txt : 20070926 0000049071-07-000107.hdr.sgml : 20070926 20070926164744 ACCESSION NUMBER: 0000049071-07-000107 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070925 FILED AS OF DATE: 20070926 DATE AS OF CHANGE: 20070926 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: MOYA STEVEN O CENTRAL INDEX KEY: 0001131361 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 071136971 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-09-25 0000049071 HUMANA INC HUM 0001131361 MOYA STEVEN O HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr. VP-Chief Marketing Officer Humana Common 2007-09-25 4 M 0 5047 21.275 A 34018 D Humana Common 2007-09-25 4 F 0 1584 67.76 D 32434 D Humana Common 2007-09-25 4 M 0 21667 32.70 A 54101 D Humana Common 2007-09-25 4 M 0 15885 53.96 A 69986 D Humana Common 2007-09-25 4 M 0 10633 21.275 A 80619 D Humana Common 2007-09-25 4 S 0 48185 0 D 32434 D Humana Common 2007-09-26 4 M 0 2000 21.275 A 34434 D Humana Common 2007-09-26 4 S 0 2000 68.30 D 32434 D Humana Common 1184 I HRSP Options 32.70 2007-09-25 4 M 0 21667 32.70 D 2012-02-24 Humana Common 21667 21666 D Options 12.995 2012-03-13 Humana Common 5000 5000 D Options 9.26 2013-03-13 Humana Common 13782 13782 D Options 21.275 2007-09-25 4 M 0 15680 21.275 D 2014-02-24 Humana Common 15680 2000 D Options 21.275 2007-09-26 4 M 0 2000 21.275 D 2014-02-14 Humana Common 2000 0 D Options 53.96 2007-09-25 4 M 0 15885 53.96 D 2013-02-23 Humana Common 15885 31770 D Options 62.10 2014-02-22 Humana Common 38062 38062 D Stock units held for reporting person's benefit as of August 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 1996 Stock Incentive Plan for Employees. Stock options granted to reporting person on 3/13/02 to vest as follows: 10,000 non-qualified stock options, one-half vesting on 3/13/03 and 3/13/04, respectively, and 5,000 incentive stock options to vest on 3/13/05. Stock options granted to reporting person on 3/13/03 to vest as follows: 16,218 non-qualified stock options to vest in two increments - 10,000 on 3/13/04 and 6,218 on 3/13/05, and 13,782 incentive stock options to vest in two increments, 3,782 on 3/13/05 and 10,000 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 ISOs 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. 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. Total of 48,185 shares sold on 9/25/2007 in the following amounts: 17,000@$68.00; 800@$68.01; 600@$68.02; 1,200@$68.03; 100@$68.04; 3,400@68.05; 2,300@$68.06; 900@$68.07; 6,700@$68.08; 600@$68.09; 200@$68.10; 5,600@$68.11; 1,800@$68.12; 200@$68.13; 300@$68.14; 1,500@$68.15; 400@$68.16; 1,385@$68.17; 500@$68.18; 100@$68.19; 200@$68.20; 500@$68.21; 100@$68.22; 700@$68.25; 700@$68.26; 100@$68.27; 100@$68.34; 100@$68.35 and 100@$68.36 Shares held in a Trust Account Steven O. Moya 2007-09-26 -----END PRIVACY-ENHANCED MESSAGE-----