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