0000049071-11-000059.txt : 20110303
0000049071-11-000059.hdr.sgml : 20110303
20110303193043
ACCESSION NUMBER: 0000049071-11-000059
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110303
FILED AS OF DATE: 20110303
DATE AS OF CHANGE: 20110303
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: 11662006
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
2011-03-03
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
103185
D
Humana Common
2011-03-03
4
M
0
13686
9.26
A
116871
D
Humana Common
2011-03-03
4
M
0
110000
32.70
A
226871
D
Humana Common
2011-03-03
4
M
0
66652
41.83
A
293523
D
Humana Common
2011-03-03
4
M
0
19041
46.40
A
312564
D
Humana Common
2011-03-03
4
S
0
168000
63.9773
D
144564
D
Humana Common
1356
I
See Footnote
Humana Common
24060
I
See Footnote
Options
32.70
2011-03-03
4
M
0
110000
32.70
D
2012-02-24
Humana Common
110000
0
D
Options
9.26
2011-03-03
4
M
0
13686
9.26
D
2006-03-13
2013-03-13
Humana Common
13686
0
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
2011-03-03
4
M
0
66652
41.83
D
2016-02-19
Humana Common
66652
33327
D
Options
46.40
2011-03-03
4
M
0
19041
46.40
D
2017-02-18
Humana Common
19041
38084
D
Options
61.18
2018-02-17
Humana Common
39209
39209
D
Restricted Stock Units
Humana Common
8867
8867
D
Phantom Stock Units
Humana Common
25950
25950
I
See Footnote
Shares held by reporting person's spouse.
The shares sold in multiple lots ranging from $63.85 to $64.16. The weighted average sale price was $63.2427
Shares held in The Murray Family trust.
Stock units held for the benefit of reporting person as of February 28, 2011 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.
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 2/17/12 to 2/17/14.
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 2/17/11, 100% of the award is vesting on 2/17/14.
Phantom Stock Units held for the benefit of reporting person as of February 28, 2011 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
2011-03-03