-----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, Q11gMME1aogG2nSwTxaI9eU8iGcNPV24CKRytg1Nn6zTNyIVo7pNWe5QbmQiqA6Z zEaUQU8FRvWI9yH/qwSTbg== 0000049071-07-000131.txt : 20071128 0000049071-07-000131.hdr.sgml : 20071128 20071128164149 ACCESSION NUMBER: 0000049071-07-000131 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071127 FILED AS OF DATE: 20071128 DATE AS OF CHANGE: 20071128 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: 071271994 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 2007-11-27 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 2007-11-27 4 M 0 50000 32.70 A 98326 D Humana Common 2007-11-27 4 S 0 100 74.48 D 98226 D Humana Common 2007-11-27 4 S 0 3200 74.49 D 95026 D Humana Common 2007-11-27 4 S 0 400 74.50 D 94626 D Humana Common 2007-11-27 4 S 0 100 74.51 D 94526 D Humana Common 2007-11-27 4 S 0 4100 74.52 D 90426 D Humana Common 2007-11-27 4 S 0 7400 74.53 D 83026 D Humana Common 2007-11-27 4 S 0 1100 74.54 D 81926 D Humana Common 2007-11-27 4 S 0 3000 74.55 D 78926 D Humana Common 2007-11-27 4 S 0 6600 74.56 D 72326 D Humana Common 2007-11-27 4 S 0 1600 74.57 D 70726 D Humana Common 2007-11-27 4 S 0 500 74.58 D 70226 D Humana Common 2007-11-27 4 S 0 13600 74.60 D 56626 D Humana Common 2007-11-27 4 S 0 600 74.61 D 56026 D Humana Common 2007-11-27 4 S 0 1300 74.62 D 54726 D Humana Common 2007-11-27 4 S 0 100 74.63 D 54626 D Humana Common 2007-11-27 4 S 0 1900 74.65 D 52726 D Humana Common 2007-11-27 4 S 0 600 74.66 D 52126 D Humana Common 2007-11-27 4 S 0 700 74.67 D 51426 D Humana Common 2007-11-27 4 S 0 1800 74.68 D 49626 D Humana Common 2007-11-27 4 S 0 500 74.69 D 49126 D Humana Common 2007-11-27 4 S 0 800 74.70 D 48326 D Options 32.70 2007-11-27 4 M 0 50000 32.70 D 2012-02-24 Humana Common 50000 25000 D Options 53.96 2013-02-23 Humana Common 47655 47655 D Options 62.10 2014-02-22 Humana Common 38062 38062 D Right to buy pursuant to the Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, 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. 2007-11-28 -----END PRIVACY-ENHANCED MESSAGE-----