0000049071-12-000016.txt : 20120222 0000049071-12-000016.hdr.sgml : 20120222 20120222155526 ACCESSION NUMBER: 0000049071-12-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120219 FILED AS OF DATE: 20120222 DATE AS OF CHANGE: 20120222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LeClaire Brian P. CENTRAL INDEX KEY: 0001528285 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 12630271 MAIL ADDRESS: STREET 1: HUMANA INC., 500 W. MAIN ST. 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 2012-02-19 0000049071 HUMANA INC HUM 0001528285 LeClaire Brian P. HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 SVP & Chief Service & Info Off Humana Common 2012-02-19 4 F 0 1093 88.565 D 2176 D Humana Common 130 I See Footnote Options 45.975 2015-04-01 Humana Common 23706 23706 D Options 41.83 2016-02-19 Humana Common 5818 5818 D Restricted Stock Units Humana Common 3772 3772 D Restricted Stock Units Humana Common 6048 6048 D Restricted Stock Units Humana Common 5475 5475 D Phantom Stock Units Humana Common 60 60 I See Footnote Stock units held for the benefit of reporting person as of January 31, 2012 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. 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). Non-Qualified stock options granted to reporting person on 4/1/08, vesting in three increments from 4/1/11 to 4/1/13. Non-qualified stock options granted to reporting person on 2/19/09, vesting in three increments from 2/19/10 to 2/19/12. 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. Restricted stock units granted to reporting person on 6/29/11, 100% of the award is vesting on 6/29/14. Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan. Phantom Stock Units held for the benefit of reporting person as of January 31, 2012 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 Form 3 dated 8/17/2011 reported 164 units, which converts to approximately 60 shares. The number of shares has not changed since the Form 3 filing. Brian P. LeClaire 2012-02-21