-----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, H07SbonhNAR4SJNj2Ev3qaA7ptcP9km1nDzGkCFMUYWrAFsZIRggz/0FfV4DkhPL wJclHzK3Iz7p4D9N5cbIwg== 0000049071-11-000031.txt : 20110218 0000049071-11-000031.hdr.sgml : 20110218 20110218144824 ACCESSION NUMBER: 0000049071-11-000031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110217 FILED AS OF DATE: 20110218 DATE AS OF CHANGE: 20110218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McCulley Steven E CENTRAL INDEX KEY: 0001301372 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 11624120 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 2011-02-17 0000049071 HUMANA INC HUM 0001301372 McCulley Steven E HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Vice President & Controller Humana Common 25095 D Humana Common 692 I See Footnote Options 32.70 2012-02-24 Humana Common 11784 11784 D Options 53.96 2013-02-23 Humana Common 7709 7709 D Options 62.10 2014-02-22 Humana Common 8110 8110 D Options 69.475 2015-02-21 Humana Common 6839 6839 D Options 45.975 2015-04-01 Humana Common 20992 20992 D Options 41.83 2016-02-19 Humana Common 9998 9998 D Restricted Stock Units Humana Common 3879 3879 D Restricted Stock Units 2011-02-17 4 A 0 8990 .1667 A Humana Common 8990 8990 D Phantom Stock Units Humana Common 7 7 I See Footnote Stock units held for the benefit of reporting person as of January 31, 2011 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). Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, both vesting in three increments from 2/24/06 to 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. Incentive and Non-Qualified stock options granted to reporting person on 4/1/08, NQ options vesting in three increments from 4/1/11 to 4/1/13, and ISO's vesting in two increments on 4/1/12 and 4/1/13. 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. Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3). Restricted stock units granted to reporting person on 2/18/10, 100% of the award is vesting on 2/18/13. Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14. Phantom Stock Units held for the benefit of reporting person as of January 31, 2011 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). Steven E. McCulley 2011-02-18 -----END PRIVACY-ENHANCED MESSAGE-----