0000049071-12-000067.txt : 20120403
0000049071-12-000067.hdr.sgml : 20120403
20120403145401
ACCESSION NUMBER: 0000049071-12-000067
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120330
FILED AS OF DATE: 20120403
DATE AS OF CHANGE: 20120403
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MURRAY JAMES E
CENTRAL INDEX KEY: 0001018658
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 12737029
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
X0305
4
2012-03-30
0000049071
HUMANA INC
HUM
0001018658
MURRAY JAMES E
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
EVP & COO
Humana Common
3983
I
See Footnote
Humana Common
2012-03-30
4
M
0
67042
62.10
A
177467
D
Humana Common
2012-03-30
4
M
0
32439
69.475
A
209906
D
Humana Common
2012-03-30
4
M
0
33327
41.83
A
243233
D
Humana Common
2012-03-30
4
M
0
19042
46.40
A
262275
D
Humana Common
2012-03-30
4
M
0
13069
61.18
A
275344
D
Humana Common
2012-03-30
4
F
0
102918
92.245
D
172426
D
Humana Common
2012-03-30
4
F
0
26372
92.245
D
146054
D
Humana Common
2012-03-30
4
S
0
5000
92.80
D
141054
D
Humana Common
2012-03-30
4
S
0
32000
92.907
D
109054
D
Humana Common
2012-03-30
4
S
0
1000
92.863
D
108054
D
Humana Common
2012-03-30
4
G
0
269
92.245
D
107785
D
Humana Common
1356
I
See Footnote
Humana Common
25072
I
See Footnote
Options
62.10
2012-03-30
4
M
0
67042
62.10
D
2014-02-22
Humana Common
67042
0
D
Options
69.475
2012-03-30
4
M
0
32439
69.475
D
2015-02-21
Humana Common
32439
38234
D
Options
41.83
2012-03-30
4
M
0
33327
41.83
D
2016-02-19
Humana Common
33327
0
D
Options
46.40
2012-03-30
4
M
0
19042
46.40
D
2017-02-18
Humana Common
19042
19042
D
Options
61.18
2012-03-30
4
M
0
13069
61.18
D
2018-02-17
Humana Common
13069
26140
D
Options
88.6475
2019-02-23
Humana Common
48747
48747
D
Restricted Stock Units
Humana Common
8867
8867
D
Restricted Stock Units
Humana Common
28668
28668
D
Restricted Stock Units
Humana Common
9476
9476
D
Phantom Stock Units
2012-03-30
4
J
0
78
89.02
A
Humana Common
78
29475
I
See Footnote
Shares held by reporting person's spouse.
Shares held in The Murray Family trust.
Stock units held for the benefit of reporting person as of March 30, 2012 under the Humana Retirement & Savings Plan, including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan. All transactions are exempt under Rule 16b-3(c).
Right to buy pursuant to 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 2/19/10 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 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.
Phantom Stock Units held for the benefit of reporting person as of March 30, 2012 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan. 78 shares were acquired for a quarterly allocation of dividends under the Plan using the closing price of the dividend payable date on January 31, 2012. (The number of units reflect normal fluctuation due to changes in the stock price)
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 $92.80 to $92.81. 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.
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 $92.515 to $93.01. 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.
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 $92.851 to $92.892. 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 E. Murray
2012-04-03