0000049071-11-000172.txt : 20111109 0000049071-11-000172.hdr.sgml : 20111109 20111109144747 ACCESSION NUMBER: 0000049071-11-000172 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111107 FILED AS OF DATE: 20111109 DATE AS OF CHANGE: 20111109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOODMAN BRUCE J CENTRAL INDEX KEY: 0001083933 STATE OF INCORPORATION: KY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 111191154 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 X0304 4 2011-11-07 0000049071 HUMANA INC HUM 0001083933 GOODMAN BRUCE J HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr. VP Humana Common 2011-11-07 4 M 0 28701 41.83 A 62981 D Humana Common 2011-11-07 4 S 0 28701 87.09 D 34280 D Humana Common 2011-11-07 4 S 0 5000 87.1295 D 29280 D Humana Common 2011-11-08 4 M 0 10348 53.96 A 39628 D Humana Common 2011-11-08 4 M 0 8655 46.40 A 48283 D Humana Common 2011-11-08 4 S 0 19003 86.97 D 29280 D Humana Common 128 I See Footnote Options 53.96 2011-11-08 4 M 0 10348 53.96 D 2013-02-23 Humana Common 10348 35454 D Options 62.10 2014-02-22 Humana Common 36452 36452 D Options 69.475 2015-02-21 Humana Common 39597 39597 D Options 41.83 2011-11-07 4 M 0 28701 41.83 D 2016-02-19 Humana Common 28701 19351 D Options 46.40 2011-11-08 4 M 0 8655 46.40 D 2017-02-18 Humana Common 8655 17311 D Options 61.18 2018-02-17 Humana Common 15178 15178 D Restricted Stock Units Humana Common 3432 3432 D Stock units held for the benefit of reporting person as of October 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 the Company's 2003 Stock Incentive Plan. 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. Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan. 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. 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. The shares sold in multiple lots ranging from $87.00 to $87.285. The weighted average sale price was $87.09. The shares sold in multiple lots ranging from $87.10 to $87.19. The weighted average sale price was $87.1295. The shares sold in multiple lots ranging from $86.00 to $87.45. The weighted average sale price was $86.97. Bruce J. Goodman 2011-11-09