0000049071-13-000049.txt : 20130320 0000049071-13-000049.hdr.sgml : 20130320 20130320143739 ACCESSION NUMBER: 0000049071-13-000049 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130320 FILED AS OF DATE: 20130320 DATE AS OF CHANGE: 20130320 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLOEM JAMES H CENTRAL INDEX KEY: 0001133713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 13704556 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 2013-03-20 0000049071 HUMANA INC HUM 0001133713 BLOEM JAMES H HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sr. VP, CFO & Treasurer Humana Common 2013-03-20 4 M 0 2155 46.40 A 45725 D Options 69.475 2015-02-21 Humana Common 46436 46436 D Options 46.40 2013-03-20 4 M 0 2155 46.40 D 2017-02-18 Humana Common 2155 9963 D Options 61.18 2018-02-17 Humana Common 15178 15178 D Options 88.6475 2019-02-23 Humana Common 28436 28436 D Options 72.84 2020-02-20 Humana Common 18201 18201 D Restricted Stock Units Humana Common 5149 5149 D Restricted Stock Units Humana Common 17201 17201 D Restricted Stock Units Humana Common 5528 5528 D Restricted Stock Units Humana Common 6006 6006 D Right to buy pursuant to the 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. Incentive and Non-Qualified stock options granted to reporting person on 02/20/13, vesting in three increments from 02/20/14 to 02/20/16. Right to receive one share per restricted stock unit pursuant to the Company's 2003 Stock Incentive Plan. Right to receive one share per restricted stock unit pursuant to the Company's 2011 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 02/17/11, 100% of the award is vesting on 02/17/14. 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 02/23/12, 100% of the award is vesting on 02/23/15. Restricted stock units granted to reporting person on 02/20/13, 100% of the award is vesting on 02/20/16. James H. Bloem 2013-03-20