-----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, KlZDqpWTjpGsJpBMRNaPwYFBTW244ICROy/W0vG1OlOzlhYeEltc/m5fyGTZqWwq CrALxonqf1Dp3jBiMCu1Bw== 0000049071-11-000001.txt : 20110103 0000049071-11-000001.hdr.sgml : 20101231 20110103160636 ACCESSION NUMBER: 0000049071-11-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101230 FILED AS OF DATE: 20110103 DATE AS OF CHANGE: 20110103 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: 11501920 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 2010-12-30 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 2010-12-30 4 G 0 2260 54.69 D 103185 D Humana Common 2010-12-30 4 G 0 1356 54.69 A 1356 I See Footnote Humana Common 23768 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 2017-02-18 Humana Common 57125 57125 D Phantom Stock Units Humana Common 25995 25995 I See Footnote Shares held by reporting person's spouse. Shares held in The Murray Family trust. Stock units held for the benefit of reporting person as of November 30, 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 November 30, 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 2011-01-03 -----END PRIVACY-ENHANCED MESSAGE-----