0000049071-12-000040.txt : 20120229 0000049071-12-000040.hdr.sgml : 20120229 20120229123245 ACCESSION NUMBER: 0000049071-12-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120227 FILED AS OF DATE: 20120229 DATE AS OF CHANGE: 20120229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kusserow Paul B. K. CENTRAL INDEX KEY: 0001456688 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 12651015 MAIL ADDRESS: STREET 1: HUMANA INC. STREET 2: 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 2012-02-27 0000049071 HUMANA INC HUM 0001456688 Kusserow Paul B. K. HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr VP & Ch Strat Dev Officer Humana Common 2012-02-27 4 M 0 33334 41.83 A 58526 D Humana Common 2012-02-27 4 M 0 12117 46.40 A 70643 D Humana Common 2012-02-27 4 M 0 7589 61.18 A 78232 D Humana Common 2012-02-27 4 S 0 61040 88.8593 D 17192 D Options 41.83 2012-02-27 4 M 0 33334 41.83 D 2016-02-19 Humana Common 33334 0 D Options 29.53 2016-04-28 Humana Common 16667 16667 D Options 46.40 2012-02-27 4 M 0 12117 46.40 D 2017-02-18 Humana Common 12117 12118 D Options 61.18 2012-02-27 4 M 0 7589 61.18 D 2018-02-17 Humana Common 7589 15178 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. 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 $88.59 to $89.33. 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. Paul B. K. Kusserow 2012-02-28