0000049071-12-000062.txt : 20120329 0000049071-12-000062.hdr.sgml : 20120329 20120329172602 ACCESSION NUMBER: 0000049071-12-000062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120329 FILED AS OF DATE: 20120329 DATE AS OF CHANGE: 20120329 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLOEM JAMES H CENTRAL INDEX KEY: 0001133713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 12725164 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 X0305 4 2012-03-29 0000049071 HUMANA INC HUM 0001133713 BLOEM JAMES H HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr. VP, CFO & Treasurer Humana Common 2012-03-29 4 M 0 35005 62.10 A 78575 D Humana Common 2012-03-29 4 S 0 35005 90.2669 D 43570 D Options 62.10 2012-03-29 4 M 0 35005 62.10 D 2014-02-22 Humana Common 35005 0 D Options 69.475 2015-02-21 Humana Common 46436 46436 D Options 46.40 2017-02-18 Humana Common 12118 12118 D Options 61.18 2018-02-17 Humana Common 15178 15178 D Options 88.6475 2019-02-23 Humana Common 28436 28436 D Restricted Stock Units Humana Common 5149 5149 D Restricted Stock Units Humana Common 17201 17201 D Restricted Stock Units Humana Common 5528 5528 D Right to buy pursuant to the 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 2/18/11 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 11/7/11, 100% of the award is vesting on 11/7/13. 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 $90.24 to $90.39. 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. James H. Bloem 2012-03-29