0000049071-11-000101.txt : 20110512 0000049071-11-000101.hdr.sgml : 20110512 20110512143424 ACCESSION NUMBER: 0000049071-11-000101 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110510 FILED AS OF DATE: 20110512 DATE AS OF CHANGE: 20110512 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: 11835298 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 2011-05-10 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 2011-05-10 4 S 0 605 77.14 D 14617 D Humana Common 2011-05-11 4 S 0 4626 77.709 D 9991 D Humana Common 2011-05-11 4 M 0 8110 62.10 A 18101 D Humana Common 2011-05-11 4 M 0 6839 69.475 A 24940 D Humana Common 2011-05-11 4 M 0 6998 45.975 A 31938 D Humana Common 2011-05-11 4 M 0 6665 41.83 A 38603 D Humana Common 2011-05-11 4 S 0 25563 78.0596 D 13040 D Humana Common 691 I See Footnote Options 62.10 2011-05-11 4 M 0 8110 62.10 D 2014-02-22 Humana Common 8110 0 D Options 69.475 2011-05-11 4 M 0 6839 69.475 D 2015-02-21 Humana Common 6839 0 D Options 45.975 2011-05-11 4 M 0 6998 45.975 D 2015-04-01 Humana Common 6998 13994 D Options 41.83 2011-05-11 4 M 0 6665 41.83 D 2016-02-19 Humana Common 6665 3333 D Restricted Stock Units Humana Common 3879 3879 D Restricted Stock Units 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 April 30, 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 2/22/07, 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 April 30, 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). The shares sold in multiple lots ranging from $77.702 to $77.722. The weighted average sale price was $77.7090. The shares sold in multiple lots ranging from $77.97 to $78.1408. The weighted average sale price was $78.0596. Steven E. McCulley 2011-05-12