-----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, MCDUHoYgaJqBZWygJHpbqgAK/qHqwzs83ZaHhbXE9h2LscCetD/k/dHeV17amjcx XDI37OFT+rCivjEgYsmU9g== 0000049071-10-000021.txt : 20100222 0000049071-10-000021.hdr.sgml : 20100222 20100222104356 ACCESSION NUMBER: 0000049071-10-000021 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100218 FILED AS OF DATE: 20100222 DATE AS OF CHANGE: 20100222 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: 10621463 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 2010-02-18 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 3983 I See Footnote Humana Common 105445 D Humana Common 23178 I See Footnote Options 32.70 2012-02-24 Humana Common 110000 110000 D Options 9.26 2006-03-13 2013-03-13 Humana Common 13686 13686 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 Options 46.40 2010-02-18 4 A 0 57125 46.40 A 2017-02-18 Humana Common 57125 57125 D Phantom Stock Units Humana Common 25056 25056 I See Footnote Shares held by reporting person's spouse. Stock units held for the benefit of reporting person as of January 31, 2010 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). Right to buy pursuant to Company's 1996 Stock Incentive Plan for Employees. 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 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. 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 2/18/11 to 2/18/13. Phantom Stock Units held for the benefit of reporting person as of January 31, 2010 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). James E. Murray 2010-02-19 -----END PRIVACY-ENHANCED MESSAGE-----