0000049071-13-000074.txt : 20130508
0000049071-13-000074.hdr.sgml : 20130508
20130508142736
ACCESSION NUMBER: 0000049071-13-000074
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: McCulley Steven E
CENTRAL INDEX KEY: 0001301372
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 13823976
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
2013-05-06
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
2013-05-06
4
M
0
13994
45.975
A
28191
D
Humana Common
2013-05-06
4
M
0
3333
41.83
A
31524
D
Humana Common
2013-05-06
4
F
0
1897
76.285
D
29627
D
Humana Common
2013-05-06
4
S
0
10300
75.6264
D
19327
D
Humana Common
695
I
See Footnote
Options
45.975
2013-05-06
4
M
0
13994
0
D
2015-04-01
Humana Common
13994
0
D
Options
41.83
2013-05-06
4
M
0
3333
0
D
2016-02-19
Humana Common
3333
0
D
Options
72.84
2020-02-20
Humana Common
4576
4576
D
Restricted Stock Units
Humana Common
8990
8990
D
Restricted Stock Units
Humana Common
5076
5076
D
Restricted Stock Units
Humana Common
1510
1510
D
Phantom Stock Units
Humana Common
7
7
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.
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.
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 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.
Steven E. McCulley
2013-05-08