0000049071-13-000003.txt : 20130102
0000049071-13-000003.hdr.sgml : 20130101
20130102180718
ACCESSION NUMBER: 0000049071-13-000003
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121228
FILED AS OF DATE: 20130102
DATE AS OF CHANGE: 20130102
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: 13503198
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
X0306
4
2012-12-28
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
2012-12-28
4
G
0
191
0
D
92262
D
Humana Common
1356
I
See Footnote
Humana Common
14400
I
See Footnote
Humana Common
2012-12-28
4
I
0
25815
67.51
D
0
I
See Footnote
Options
69.475
2015-02-21
Humana Common
38234
38234
D
Options
46.40
2017-02-18
Humana Common
19042
19042
D
Options
61.18
2018-02-17
Humana Common
26140
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
74.47
2012-12-31
4
J
0
102
74.47
A
Humana Common
102
29947
I
See Footnote
Phantom Stock Units
2012-12-31
4
I
0
29947
67.51
D
Humana Common
29947
0
I
See Footnote
Shares held by reporting person's spouse.
Shares held in The Murray Family Partnership.
Stock units held for the benefit of reporting person 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). Transaction being reported is an interplan discretionary transfer of 100% of the Humana Common Stock Fund.
Right to buy pursuant to Company's 2003 Stock Incentive Plan.
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.
Phantom Stock Units held for the benefit of reporting person as of December 31, 2012 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. Transaction reported reflects that one hundred two (102) shares acquired for a quarterly allocation (allocated last business day of each quarter) of dividend equivalents under the Plan using the closing price on the dividend payable date of October 26, 2012 of $74.47. (The ending number of units reflects the normal fluctuation due to changes in the stock price)
Transfer of Shares from Family Partnership to Family Trust - Mr. Murray's spouse is the trustee and his family members are the beneficiaries.
Phantom Stock Units held for the benefit of reporting person as of December 31, 2012 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. Transaction being reported is an interplan discretionary transfer of 100% of the Humana Common Stock Fund.
James E. Murray
2013-01-02