0000049071-11-000060.txt : 20110303 0000049071-11-000060.hdr.sgml : 20110303 20110303201347 ACCESSION NUMBER: 0000049071-11-000060 CONFORMED SUBMISSION TYPE: 4/A 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 11662126 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/A 1 edgar.xml PRIMARY DOCUMENT X0303 4/A 2011-03-03 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 2011-03-03 4 F 0 35005 64.215 D 109559 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. The amended Form 4 includes shares withheld for taxes omitted from the original filing dated same date. 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