0000049071-13-000027.txt : 20130220
0000049071-13-000027.hdr.sgml : 20130220
20130220132150
ACCESSION NUMBER: 0000049071-13-000027
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: LISTON THOMAS J
CENTRAL INDEX KEY: 0001119596
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 13626013
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
2013-02-18
0000049071
HUMANA INC
HUM
0001119596
LISTON THOMAS J
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
President - Retail Segment
Humana Common
2013-02-18
4
M
0
4095
.1667
A
103165
D
Humana Common
2013-02-18
4
F
0
1442
78.175
D
101723
D
Humana Common
10018
I
See Footnote
Options
45.975
2015-04-01
Humana Common
11995
11995
D
Options
41.83
2016-02-19
Humana Common
2688
2688
D
Options
89.145
2019-04-25
Humana Common
4661
4661
D
Restricted Stock Units
2013-02-18
4
M
0
4095
.1667
D
Humana Common
0
0
D
Restricted Stock Units
Humana Common
5721
5721
D
Restricted Stock Units
Humana Common
5640
5640
D
Restricted Stock Units
Humana Common
1683
1683
D
Shares 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 the Company's 2003 Stock Incentive Plan.
Incentive and Non-Qualified stock options granted to reporting person on 4/1/08, NQ options vesting in three increments from 4/1/11 to 4/1/13, and ISO's vesting in two increments on 4/1/12 and 4/1/13.
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 2/19/10 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 4/25/13 to 4/25/15.
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 2/18/10, 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 2/23/12, 100% of the award is vesting on 2/23/15.
Restricted stock units granted to reporting person on 4/25/12, 100% of the award is vesting on 4/25/15.
Thomas J. Liston
2013-02-20