0000049071-13-000026.txt : 20130220 0000049071-13-000026.hdr.sgml : 20130220 20130220131920 ACCESSION NUMBER: 0000049071-13-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130218 FILED AS OF DATE: 20130220 DATE AS OF CHANGE: 20130220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LeClaire Brian P. CENTRAL INDEX KEY: 0001528285 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 13626007 MAIL ADDRESS: STREET 1: HUMANA INC., 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 X0306 4 2013-02-18 0000049071 HUMANA INC HUM 0001528285 LeClaire Brian P. HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 SVP & Chief Service & Info Off Humana Common 2013-02-18 4 M 0 3772 .1667 A 5948 D Humana Common 2013-02-18 4 F 0 1374 78.175 D 4574 D Humana Common 132 I See Footnote Options 45.975 2015-04-01 Humana Common 23706 23706 D Options 41.83 2016-02-19 Humana Common 5818 5818 D Restricted Stock Units 2013-02-18 4 M 0 3772 .1667 D Humana Common 0 0 D Restricted Stock Units Humana Common 6048 6048 D Restricted Stock Units Humana Common 5475 5475 D Restricted Stock Units Humana Common 6768 6768 D Phantom Stock Units Humana Common 60 60 I See Footnote Stock units held for the benefit of reporting person as of January 31, 2013 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c). Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 4/1/08, vesting in three increments from 4/1/11 to 4/1/13. Non-qualified stock options granted to reporting person on 2/19/09, vesting in three increments from 2/19/10 to 2/19/12. 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 2/18/10, 100% of the award is vesting on 2/18/13. 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 6/29/11, 100% of the award is vesting on 6/29/14. 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 January 31, 2013 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. Brian P. LeClaire 2013-02-20