0000049071-13-000028.txt : 20130220 0000049071-13-000028.hdr.sgml : 20130220 20130220132618 ACCESSION NUMBER: 0000049071-13-000028 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: McCulley Steven E CENTRAL INDEX KEY: 0001301372 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 13626034 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 0001301372 McCulley Steven E HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Vice President & Controller Humana Common 2013-02-18 4 M 0 3879 .1667 A 15611 D Humana Common 2013-02-18 4 F 0 1414 78.175 D 14197 D Humana Common 694 I See Footnote Options 45.975 2015-04-01 Humana Common 13994 13994 D Options 41.83 2016-02-19 Humana Common 3333 3333 D Restricted Stock Units 2013-02-18 4 M 0 3879 .1667 D Humana Common 0 0 D Restricted Stock Units Humana Common 8990 8990 D Restricted Stock Units Humana Common 5076 5076 D Phantom Stock Units Humana Common 7 7 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. 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. 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. 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. Steven E. McCulley 2013-02-20