-----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, AaKdaUyn35VwdG70UU2ldxhf4JnTkXh9p5tpkfpm2alr8eXv1fW3sQa6zGjex1eO wrPLDukEXulGKZZSH9oWWw== 0000049071-09-000057.txt : 20091202 0000049071-09-000057.hdr.sgml : 20091202 20091202113345 ACCESSION NUMBER: 0000049071-09-000057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091130 FILED AS OF DATE: 20091202 DATE AS OF CHANGE: 20091202 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: 091216596 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 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 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-11-30 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 12785 I See Footnote Humana Common 6966 I See Footnote Humana Common 2009-11-30 4 M 0 34610 12.995 A 430004 D Humana Common 2009-11-30 4 M 0 189201 9.26 A 619205 D Humana Common 2009-11-30 4 M 0 195300 21.275 A 814505 D Humana Common 2009-11-30 4 F 0 53375 41.25 D 761130 D Humana Common 2009-11-30 4 F 0 215023 41.45 D 546107 D Humana Common 2009-11-30 4 S 0 125000 D 421107 D Humana Common 39114 I See Footnote Humana Common 60000 I See Footnote Options 32.70 2012-02-24 Humana Common 250000 250000 D Options 12.995 2009-11-30 4 M 0 34610 12.995 D 2012-03-13 Humana Common 34610 0 D Options 9.26 2009-11-30 4 M 0 189201 9.26 D 2013-03-13 Humana Common 189201 0 D Options 21.275 2009-11-30 4 M 0 195300 21.275 D 2014-02-24 Humana Common 195300 0 D Options 53.96 2013-02-23 Humana Common 150000 150000 D Options 62.10 2014-02-22 Humana Common 129758 129758 D Options 69.475 2015-02-21 Humana Common 159585 159585 D Options 41.83 2016-02-19 Humana Common 225759 225759 D Phantom Stock Units Humana Common 1168 1168 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's children. Reporting person sold a total of 125,000 shares at the following prices: 500 @ $41.1; 400 @ $41.105; 200 @ $41.11; 3,100 @ $41.115; 1,700 @ $41.12; 2,600 @ $41.125; 794 @ $41.13; 1,200 @ $41.135; 400 @ $41.14; 2,500 @ $41.145; 300 @ $41.15; 1,500 @ $41.155; 1,000 @ $41.16; 1,400 @ $41.165; 500 @ $41.17; 1,200 @ $41.175; 400 @ $41.18; 800 @ $41.185; 1,100 @ $41.19; 100 @ $41.195; 200 @ $41.2; 1,400 @ $41.205; 200 @ $41.21; 2,800 @ $41.215; 1,000 @ $41.22; 2,100 @ $41.225; 1,200 @ $41.23; 1,900 @ $41.235; 700 @ $41.24; 1,400 @ $41.245; 600 @ $41.25; 800 @ $41.255; 700 @ $41.26; 1,900 @ $41.265; 1,000 @ $41.27; 2,900 @ $41.275; 1,300 @ $41.28; 1,100 @ $41.285; 1,049 @ $41.29; 800 @ $41.295; 2,300 @ $41.3; 500 @ $41.305; 1,400 @ $41.315; 400 @ $41.32; 2,300 @ $41.325; 400 @ $41.33; 1,200 @ $41.335; 1,100 @ $41.34; 2,200 @ $41.345; 400 @ $41.35; 2,500 @ $41.355; 1,300 @ $41.36; 700 @ $41.365; 500 @ $41.37; 1,300 @ $41.375; 900 @ $41.38; 4,300 @ $41.385; 1,008 @ $41.39 (continue footnote #4) 2,500 @ $41.395; 700 @ $41.4; 2,200 @ $41.405; 600 @ $41.41; 300 @ $41.415; 400 @ $41.42; 2,000 @ $41.425; 700 @ $41.43; 5,500 @ $41.435; 900 @ $41.44; 6,200 @ $41.445; 1,500 @ $41.45; 2,300 @ $41.455; 1,000 @ $41.46; 4,400 @ $41.465; 200 @ $41.47; 1,500 @ $41.475; 400 @ $41.48; 300 @ $41.485; 100 @ $41.49; 400 @ $41.495; 300 @ $41.5; 800 @ $41.505; 880 @ $41.51; 500 @ $41.515; 1,910 @ $41.52; 800 @ $41.525; 270 @ $41.53; 500 @ $41.535; 1,100 @ $41.54; 598 @ $41.545; 3,391 @ $41.55; 600 @ $41.555; 2,000 @ $41.56; 400 @ $41.565; 1,100 @ $41.57; 600 @ $41.575; 800 @ $41.58; 300 @ $41.585; 2,000 @ $41.59; 200 @ $41.605; 200 @ $41.625; 200 @ $41.66. Shares held for the benefit of reporting person as of October 31, 2009 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). Shares held in a GRAT with reporting person's spouse as trustee. Right to buy pursuant to Company's 1996 Stock Incentive Plan for Employees. 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. 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 October 31, 2009 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 2009-12-01 -----END PRIVACY-ENHANCED MESSAGE-----