-----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, RCDM1hcNXm/5lBfCFzX1GH+OVNIXh9w4JRba6EyEw8EC2vEsAAUi2eQwRAKoOhs0 bnELFS/8SCpWQI23s+he2w== 0000049071-09-000033.txt : 20090330 0000049071-09-000033.hdr.sgml : 20090330 20090330150411 ACCESSION NUMBER: 0000049071-09-000033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090326 FILED AS OF DATE: 20090330 DATE AS OF CHANGE: 20090330 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: MURRAY JAMES E CENTRAL INDEX KEY: 0001018658 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 09713844 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-03-26 0000049071 HUMANA INC HUM 0001018658 MURRAY JAMES E HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Chief Operating Officer Humana Common 4913 I See Footnote Humana Common 1622 I See Footnotes Humana Common 100591 D Humana Common 2009-03-26 4 J 0 567 25.24 A 22812 I See Footnote Options 7.4688 2002-11-18 2009-11-18 Humana Common 86000 86000 D Options 32.70 2012-02-24 Humana Common 110000 110000 D Options 12.995 2005-03-13 2012-03-13 Humana Common 20000 20000 D Options 9.26 2006-03-13 2013-03-13 Humana Common 13686 13686 D Options 21.275 2014-02-24 Humana Common 80300 80300 D Options 53.96 2013-02-23 Humana Common 84720 84720 D Options 62.10 2014-02-22 Humana Common 67042 67042 D Options 69.475 2015-02-21 Humana Common 70673 70673 D Options 41.83 2016-02-19 Humana Common 99979 99979 D Phantom Stock Units 2009-03-26 4 J 0 6282 25.24 A Humana Common 25399 25399 I See Footnote Shares held by reporting person's spouse. Shares held by reporting person's child. Stock units held for the benefit of reporting person as of March 26, 2009 under the Humana Retirement & Savings Plan, including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan. All transactions are exempt under Rule 16b-3(c). The number of units being reported represent annual funding for the 2008 Plan year made on March 26, 2009. Right to buy pursuant to Company's 1996 Stock Incentive Plan for Employees. Non-Qualified Stock Options were granted to reporting person on 11/18/99 vesting in three increments from 11/18/00 to 11/18/02. Incentive Stock Options were granted to reporting person on 3/13/02 vesting in thirds from 3/13/03 to 3/13/05. Incentive and Non-Qualified Stock Options were granted to reporting person on 3/13/03 vesting in three increments each from 3/13/04 to 3/13/06. Right to buy pursuant to Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified Stock Options were granted to reporting person on 2/24/04 vesting in three increments from 2/24/05 to 2/24/07, and ISO's vesting on 02/24/07. 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. Incentive and Non-Qualified stock options granted to reporting person on 2/21/08, NQ options vesting in three increments from 2/21/09 to 2/21/11, and ISO's vesting on 2/21/11. Reporting person was granted the maximum number of Incentive stock options allowed and remaining options were granted as Non-Qualified stock options. The option grant vests in three increments from 2/19/10 to 2/19/12. Phantom Stock Units held for the benefit of reporting person as of March 26, 2009 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 2008 Plan year made on March 26, 2009. James E. Murray 2009-03-27 -----END PRIVACY-ENHANCED MESSAGE-----