0000049071-12-000032.txt : 20120227
0000049071-12-000032.hdr.sgml : 20120227
20120227143723
ACCESSION NUMBER: 0000049071-12-000032
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120223
FILED AS OF DATE: 20120227
DATE AS OF CHANGE: 20120227
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCCALLISTER MICHAEL B
CENTRAL INDEX KEY: 0001018657
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 12641386
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
2012-02-23
0000049071
HUMANA INC
HUM
0001018657
MCCALLISTER MICHAEL B
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
1
1
0
0
Chairman of the Board & CEO
Humana Common
12325
I
See Footnote
Humana Common
8560
I
See Footnote
Humana Common
325010
D
Humana Common
38358
I
See Footnote
Humana Common
12366
I
See Footnote (2008 GRAT)
Humana Common
18057
I
See Footnote (2010 GRAT)
Options
53.96
2013-02-23
Humana Common
150000
150000
D
Options
62.10
2014-02-22
Humana Common
129758
129758
D
Options
69.475
2015-02-21
Humana Common
159585
159585
D
Options
41.83
2016-02-19
Humana Common
75253
75253
D
Options
46.40
2017-02-18
Humana Common
86554
86554
D
Options
61.18
2018-02-17
Humana Common
88537
88537
D
Options
88.6475
2012-02-23
4
A
0
101557
88.6475
A
2019-02-23
Humana Common
101557
101557
D
Restricted Stock Units
Humana Common
20023
20023
D
Restricted Stock Units
2012-02-23
4
A
0
19741
.1667
A
Humana Common
19741
19741
D
Phantom Stock Units
Humana Common
1158
1158
I
See Footnote
Shares held in a trust for the benefit of reporting person's spouse.
Shares held in a trust for the benefit of reporting person's children.
Shares 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).
Shares held in a GRAT with reporting person's spouse as trustee.
Shares held in a GRAT with reporting person's spouse as trustee.
Right to buy pursuant to 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.
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.
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 2/23/13 to 2/23/15.
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 2/23/12, 100% of the award is vesting on 2/23/15.
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 number of options was mistakenly reported as 43,276 on previous Form 4s.
Michael B. McCallister
2012-02-24