-----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, C+yhVxNdsUmRuJkWYSc3u2bHXXCNrnkkakDrL0hgvcA8nJB50bJQGkic7M4ulW6u c4hejrVhow64v9jcHJXxjw== 0000049071-08-000034.txt : 20080331 0000049071-08-000034.hdr.sgml : 20080331 20080331152334 ACCESSION NUMBER: 0000049071-08-000034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080327 FILED AS OF DATE: 20080331 DATE AS OF CHANGE: 20080331 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: 08724171 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 2008-03-27 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 132422 D Humana Common 1650 I See Footnote Humana Common 2008-03-27 4 J 0 302 46.61 A 302 I See Footnote Options 32.70 2012-02-24 Humana Common 25000 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 Phantom Stock Units 46.61 2008-03-27 4 J 0 1962 46.61 A Humana Common 1962 1962 I See Footnote Shares held on behalf of minor children. Stock units held for the benefit of reporting person as of March 27, 2008 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). The number of units being reported represent annual funding for the 2007 Plan year made on March 27, 2008. 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. Phantom Stock Units held for the benefit of reporting person as of March 27, 2008 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan. All transactions are exempt under Rule 16b-3(c and d). The number of units being reported represent annual funding for the 2007 Plan year made on March 27, 2008. Arthur P. Hipwell 2008-03-28 -----END PRIVACY-ENHANCED MESSAGE-----