0000049071-13-000073.txt : 20130508 0000049071-13-000073.hdr.sgml : 20130508 20130508142543 ACCESSION NUMBER: 0000049071-13-000073 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130506 FILED AS OF DATE: 20130508 DATE AS OF CHANGE: 20130508 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: 13823969 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 2013-05-06 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 2013-05-06 4 M 0 23706 45.975 A 28280 D Humana Common 2013-05-06 4 M 0 5818 41.83 A 34098 D Humana Common 2013-05-06 4 F 0 5245 76.285 D 28853 D Humana Common 2013-05-06 4 S 0 19000 76.1171 D 9853 D Humana Common 132 I See Footnote Options 45.975 2013-05-06 4 M 0 23706 0 D 2015-04-01 Humana Common 23706 0 D Options 41.83 2013-05-06 4 M 0 5818 0 D 2016-02-19 Humana Common 5818 0 D Options 72.84 2020-02-20 Humana Common 6760 6760 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 Restricted Stock Units Humana Common 2231 2231 D Phantom Stock Units Humana Common 61 61 I See Footnote Stock units held for the benefit of reporting person as of April 30, 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. 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 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. 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 April 30, 2013 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. Brian P. LeClaire 2013-05-08