-----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, Oq+HurH9roTM7Gr5duzJGjyp+vk4FOJmC2XOpa/mzgQJhdGzCApOsLktZGmHGZTw pdGcYysJsYjw9Nq17rYXUw== 0000049071-07-000147.txt : 20071226 0000049071-07-000147.hdr.sgml : 20071225 20071226170616 ACCESSION NUMBER: 0000049071-07-000147 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071226 FILED AS OF DATE: 20071226 DATE AS OF CHANGE: 20071226 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: HIPWELL ARTHUR P CENTRAL INDEX KEY: 0001018656 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 071327157 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 2007-12-26 0000049071 HUMANA INC HUM 0001018656 HIPWELL ARTHUR P HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Senior Vice President Humana Common 2007-12-26 4 M 0 50000 32.70 A 202200 D Humana Common 2007-12-26 4 F 0 20000 76.47 D 182200 D Humana Common 2007-12-26 4 F 0 12778 76.47 D 169422 D Humana Common 2007-12-26 4 S 0 37000 0 D 132422 D Humana Common 1650 I See Footnote Options 32.70 2007-12-26 4 M 0 50000 32.70 D 2012-02-24 Humana Common 50000 25000 D Options 12.995 2012-03-13 Humana Common 15585 15585 D Options 9.26 2013-03-13 Humana Common 10799 10799 D Options 21.275 2014-02-24 Humana Common 4700 4700 D Options 53.96 2013-02-23 Humana Common 47655 47655 D Options 62.10 2014-02-22 Humana Common 38062 38062 D Shares held on behalf of minor children. Reporting person sold a total of 37,000 shares at the following prices: 600 @ $76.30; 400 @ $76.31; 800 @ $76.32; 200 @ $76.33; 1,100 @ $76.35; 300 @ $76.37; 3,600 @ $76.38; 200 @ $76.39; 2,100 @ $76.40; 4,100 @ $76.41; 1,200 @ $76.42; 4,800 @ $76.43; 500 @ $76.44; 16,900 @ $76.45; 100 @ $76.47; 100 @ $76.49. Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees. Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, vesting in three increments each from 3/13/03 to 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 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 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. Arthur P. Hipwell 2007-12-26 -----END PRIVACY-ENHANCED MESSAGE-----