0000049071-13-000052.txt : 20130401
0000049071-13-000052.hdr.sgml : 20130401
20130401144050
ACCESSION NUMBER: 0000049071-13-000052
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130328
FILED AS OF DATE: 20130401
DATE AS OF CHANGE: 20130401
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MARGULIS HEIDI S
CENTRAL INDEX KEY: 0001103605
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 13730534
MAIL ADDRESS:
STREET 1: C/O HUMANA INC
STREET 2: 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
2013-03-28
0000049071
HUMANA INC
HUM
0001103605
MARGULIS HEIDI S
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Senior V.P. - Public Affairs
Humana Common
11916
D
Humana Common
6871
I
See Footnote
Options
69.475
2015-02-21
Humana Common
5130
5130
D
Options
72.84
2020-02-20
Humana Common
4680
4680
D
Restricted Stock Units
Humana Common
2355
2355
D
Restricted Stock Units
Humana Common
2820
2820
D
Restricted Stock Units
Humana Common
1544
1544
D
Phantom Stock Units
2013-03-28
4
J
0
2
74.93
A
Humana Common
2
358
I
See Footnote
Shares held for the benefit of reporting person as of March 28, 2013 under the Humana Retirement & Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, 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 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.
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 5/05/11, 100% of the award is vesting on 5/05/14.
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 2/20/13, 100% of the award is vesting on 2/20/16.
Phantom Stock Units held for the benefit of reporting person as of March 28, 2013 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctation due to changes in stock price. Transaction reported reflects shares acquired for a quarterly allocation of dividend equivalents, allocated the last business day of the quarter. The amount of shares purchased was determined using the closing price of Humana stock on the dividend payable date of January 25, 2013.
Heidi S. Margulis
2013-04-01