-----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, M1pTXHmzHyCbNm1eBWbZLuFkRum1IGHKyAVgaW5xkxhaS3WBnHi6iEMiBnGyZh2G /dn+8JFNAZAkyWDb6pk66Q== 0000049071-07-000124.txt : 20071116 0000049071-07-000124.hdr.sgml : 20071116 20071116134544 ACCESSION NUMBER: 0000049071-07-000124 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071114 FILED AS OF DATE: 20071116 DATE AS OF CHANGE: 20071116 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: LISTON THOMAS J CENTRAL INDEX KEY: 0001119596 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 071252536 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 2007-11-14 0000049071 HUMANA INC HUM 0001119596 LISTON THOMAS J HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr VP-Strategy & Corp Dev Common 2007-11-14 4 S 0 29900 0 D 51232 D Common 2007-11-15 4 S 0 23615 73.70 D 27617 D Humana Common 2007-11-14 4 S 0 1760 73.8648 D 720 I See Footnote (2) Common 2007-11-14 4 S 0 720 73.86 D 0 I See Footnote (2) Humana Common 9753 I See Footnote Options 15.5938 2008-01-15 Humana Common 17400 17400 D Options 15.5938 2008-09-17 Humana Common 6090 6090 D Options 19.25 2009-01-15 Humana Common 20000 20000 D Options 9.5938 2009-09-09 Humana Common 10000 10000 D Options 7.0938 2010-07-13 Humana Common 45600 45600 D Options 32.70 2012-02-24 Humana Common 17900 17900 D Options 12.995 2012-03-13 Humana Common 10000 10000 D Options 9.26 2013-03-13 Humana Common 10000 10000 D Options 21.275 2014-02-24 Humana Common 10000 10000 D Options 53.96 2013-02-23 Humana Common 8564 8564 D Options 62.10 2014-02-22 Humana Common 4866 4866 D Shares held for the benefit of reporting person as of October 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). Shares held by reporting person as custodian for three children. Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees. Non-Qualified stock options granted to reporting person on 9/17/98 vesting on 9/17/99. Non-Qualified stock options granted to reporting person on 9/17/98 vesting on 1/15/01. Non-Qualified stock options granted to reporting person on 1/15/99 vesting in three increments from 1/15/00 to 1/15/02. Non-Qualified stock options granted to reporting person on 9/9/99, vesting in three increments from 9/9/00 and 9/9/02. Incentive and Non-Qualified stock options granted to reporting person on 7/13/00 vesting in three increments each from 7/13/01 to 7/13/03. Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, NQ options vesting on 3/13/03, and ISO's vesting in two increments on 3/13/04 and 3/13/05. Incentive stock options granted to reporting person on 3/13/03 vesting in three increments from 3/13/04 to 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 vesting in two increments on 2/24/05 and 2/24/06, and ISO's vesting in three increments from 2/24/05 to 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 in two increments on 2/24/07 and 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. Mr. Liston sold a total of 29,900 shares on 11/14/2007 at the following prices: 6,300@$73.70 3,900@$73.75; 500@$73.76; 900@$73.77; 1,600@$73.78; 1,900@$73.79; 2,500@$73.80; 1,500@$73.81; 2,000@$73.82; 2,500@$73.83; 1,600@$73.84; 400@$73.85; 600@$73.86; 500@$73.87; 1,000@$73.88; 400@$73.89; 600@$73.90 100@$73.91; 300@$73.92; 200@$73.93; 400@$73.94; 100@$73.95; 100@$73.96 Thomas J. Liston 2007-11-16 -----END PRIVACY-ENHANCED MESSAGE-----