-----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, JC8G6H/8WP7C8kVQD9roKJhUzDdmjQFpGaP4BvpG1K3czgunKo1Ur5JQiRQAackv 2WW0UBMNzwOCcdUY9l0x8A== 0000049071-07-000137.txt : 20071219 0000049071-07-000137.hdr.sgml : 20071219 20071219133717 ACCESSION NUMBER: 0000049071-07-000137 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071217 FILED AS OF DATE: 20071219 DATE AS OF CHANGE: 20071219 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: MCCALLISTER MICHAEL B CENTRAL INDEX KEY: 0001018657 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 071315847 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 2007-12-17 0000049071 HUMANA INC HUM 0001018657 MCCALLISTER MICHAEL B HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 1 1 0 0 President & CEO Humana Common 2007-12-18 4 G 0 326 73.615 D 13093 I See Footnote Humana Common 2007-12-18 4 G 0 326 73.615 D 14010 I See Footnote Humana Common 2007-12-18 4 G 0 652 0 A 3948 I See Footnote Humana Common 38059 I See Footnote Humana Common 2007-12-17 4 M 0 100000 7.4688 A 512006 D Humana Common 2007-12-17 4 M 0 125521 6.9063 A 637527 D Humana Common 2007-12-17 4 M 0 4700 21.275 A 642227 D Humana Common 2007-12-17 4 F 0 21192 76.145 D 621035 D Humana Common 2007-12-17 4 F 0 1345 74.29 D 619690 D Humana Common 2007-12-17 4 F 0 89874 74.29 D 529816 D Humana Common 2007-12-17 4 G 0 101 74.29 D 529715 D Humana Common 2007-12-18 4 G 0 817 73.615 D 528898 D Humana Common 2007-12-17 4 S 0 20400 73.50 D 508498 D Humana Common 2007-12-17 4 S 0 300 73.5001 D 508198 D Humana Common 2007-12-17 4 S 0 100 73.501 D 508098 D Humana Common 2007-12-17 4 S 0 100 73.502 D 507998 D Humana Common 2007-12-17 4 S 0 5850 73.51 D 502148 D Humana Common 2007-12-17 4 S 0 100 73.5115 D 502048 D Humana Common 2007-12-17 4 S 0 2950 73.52 D 499098 D Humana Common 2007-12-17 4 S 0 1900 73.53 D 497198 D Humana Common 2007-12-17 4 S 0 100 73.5301 D 497098 D Humana Common 2007-12-17 4 S 0 4400 73.54 D 492698 D Humana Common 2007-12-17 4 S 0 100 73.5401 D 492598 D Humana Common 2007-12-17 4 S 0 100 73.542 D 492498 D Humana Common 2007-12-17 4 S 0 10800 73.55 D 481698 D Humana Common 2007-12-17 4 S 0 100 73.5501 D 481598 D Humana Common 2007-12-17 4 S 0 300 73.56 D 481298 D Humana Common 2007-12-17 4 S 0 100 73.5601 D 481198 D Humana Common 2007-12-17 4 S 0 37300 0 D 443898 D Options 19.25 2009-01-15 Humana Common 24806 24806 D Options 7.4688 2007-12-17 4 M 0 100000 7.4688 D 2009-11-18 Humana Common 100000 0 D Options 6.9063 2007-12-17 4 M 0 125521 6.9063 D 2010-02-11 Humana Common 125521 0 D Options 32.70 2012-02-24 Humana Common 250000 250000 D Options 12.995 2012-03-13 Humana Common 34610 34610 D Options 9.26 2013-03-13 Humana Common 189201 189201 D Options 21.275 2007-12-17 4 M 0 4700 21.275 D 2014-02-24 Humana Common 4700 195300 D Options 53.96 2013-02-23 Humana Common 150000 150000 D Options 62.10 2014-02-22 Humana Common 129758 129758 D Phantom Stock Units Humana Common 1138 1138 I See Footnote Shares held in a trust for the benefit of reporting person's spouse. Shares held in a trust for the benefit of reporting person. Shares held in a trust for the benefit of reporting person's minor children. Shares held for the benefit of reporting person as of November 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, both exempt under Rule 16b-3(c). Reporting person sold an aggregate of 37,300 shares on 12/17/07-12/18/07 as follows: 600 @ $73.58; 100 @ $73.5801; 100 @ $73.5825; 400 @ $73.59; 8,000 @ $73.6; 200 @ $73.6001; 1,100 @ $73.61; 500 @ $73.62; 10,500 @ $73.63; 2,068 @ $73.64; 700 @ $73.65; 100 @ $73.6501; 200 @ $73.66; 200 @ 73.67; 100 @ 73.6705; 100 @ $73.6725; 900 @ $73.68; 300 @ $73.69; 1,132 @ $73.70; 100 @ $73.7001; 1,100 @ $73.71; 100 @ $73.712; 2,900 @ 73.72; 100 @ $73.7335; 600 @ $73.74; 100 @ $73.7401; 100 @ $73.741; 2,200 @ $73.75; 100 @ $73.751; 800 @ $73.76; 200 @$73.79; 400 @ $73.82; 200 @ $73.83; 100 @ $73.84; 900 @ $73.85. Right to buy pursuant to Company's 1996 Stock Incentive Plan for Employees. Incentive and 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 11/18/99 vesting in three increments from 11/18/00 to 11/18/02. Incentive and Non-qualified stock options granted to reporting person on 2/11/00, NQ options vesting in three increments from 2/11/01 to 2/11/03, and ISO's vesting on 2/11/03. 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, ISO's vesting in two increments on 3/13/04 and 3/13/05. Incentive and Non-qualified stock options granted to reporting person on 3/13/03, NQ options vesting in three increments from 3/13/04 to 3/13/06, and ISO's vesting on 3/13/06. Right to buy pursuant to 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. Phantom Stock Units held for the benefit of reporting person as of November 30, 2007, based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan exempt under Rule 16b-3(c and d). Michael B. McCallister 2007-12-18 -----END PRIVACY-ENHANCED MESSAGE-----