0000049071-12-000039.txt : 20120228 0000049071-12-000039.hdr.sgml : 20120228 20120228160153 ACCESSION NUMBER: 0000049071-12-000039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120227 FILED AS OF DATE: 20120228 DATE AS OF CHANGE: 20120228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Christopher M Todoroff CENTRAL INDEX KEY: 0001441437 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 12647137 MAIL ADDRESS: STREET 1: HUMANA INC. STREET 2: 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 2012-02-27 0000049071 HUMANA INC HUM 0001441437 Christopher M Todoroff HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr. VP and General Counsel Humana Common 2012-02-27 4 M 0 15000 45.98 A 41307 D Humana Common 2012-02-27 4 M 0 19351 41.83 A 60658 D Humana Common 2012-02-27 4 M 0 11667 29.53 A 72325 D Humana Common 2012-02-27 4 M 0 13848 46.40 A 86173 D Humana Common 2012-02-27 4 F 0 2218 90.09 D 83955 D Humana Common 2012-02-27 4 S 0 61729 90.4132 D 22226 D Options 45.98 2012-02-27 4 M 0 15000 45.98 D 2015-08-28 Humana Common 15000 0 D Options 41.83 2012-02-27 4 M 0 19351 41.83 D 2016-02-19 Humana Common 19351 0 D Options 29.53 2012-02-27 4 M 0 11667 29.53 D 2016-04-28 Humana Common 11667 11667 D Options 46.40 2012-02-27 4 M 0 13848 46.40 D 2017-02-18 Humana Common 13848 13849 D Options 61.18 2018-02-17 Humana Common 22767 22767 D Options 88.6475 2019-02-23 Humana Common 24374 24374 D Restricted Stock Units Humana Common 5149 5149 D Restricted Stock Units Humana Common 4738 4738 D Right to buy pursuant to the Company's 2003 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 8/28/08 vesting in three increments from 8/28/09 to 8/28/2011. 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. Non-Qualified stock option grant vests in three increments from 4/28/10 to 4/28/12. 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. This price represents the weighted average sales price for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $90.00 to $90.95. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares and prices at which transactions were effected. Christopher M. Todoroff 2012-02-28