0000049071-11-000175.txt : 20111109
0000049071-11-000175.hdr.sgml : 20111109
20111109174034
ACCESSION NUMBER: 0000049071-11-000175
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: MURRAY JAMES E
CENTRAL INDEX KEY: 0001018658
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 111192710
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
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
110425
D
Humana Common
1356
I
See Footnote
Humana Common
24479
I
See Footnote
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
2016-02-19
Humana Common
33327
33327
D
Options
46.40
2017-02-18
Humana Common
312564
312564
D
Options
61.18
2018-02-17
Humana Common
39209
39209
D
Restricted Stock Units
Humana Common
8867
8867
D
Restricted Stock Units
2011-11-07
4
A
0
28668
.1667
A
Humana Common
28668
28668
D
Phantom Stock Units
Humana Common
28194
28194
I
See Footnote
Shares held by reporting person's spouse.
Shares held in The Murray Family trust.
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. All transactions are exempt under Rule 16b-3(c).
Right to buy pursuant to Company'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.
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.
Restricted stock units granted to reporting person on 11/7/11, 100% of the award is vesting on 11/7/13.
Phantom Stock Units held for the benefit of reporting person as of October 31, 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
2011-11-08