0000049071-13-000127.txt : 20130816
0000049071-13-000127.hdr.sgml : 20130816
20130816173139
ACCESSION NUMBER: 0000049071-13-000127
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130815
FILED AS OF DATE: 20130816
DATE AS OF CHANGE: 20130816
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCCALLISTER MICHAEL B
CENTRAL INDEX KEY: 0001018657
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 131046357
MAIL ADDRESS:
STREET 1: 500 WEST MAIN STREET
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2013-08-15
0000049071
HUMANA INC
HUM
0001018657
MCCALLISTER MICHAEL B
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
1
0
0
0
Humana Common
2013-08-15
4
M
0
79793
69.475
A
191652
D
Humana Common
2013-08-15
4
M
0
59024
61.18
A
250676
D
Humana Common
2013-08-15
4
S
0
138817
91.4856
D
111859
D
Humana Common
12325
I
See Footnote
Humana Common
8560
I
See Footnote
Humana Common
56650
I
See Footnote
Humana Common
12366
I
See Footnote (2008 GRAT)
Humana Common
10837
I
See Footnote (2010 GRAT)
Humana Common
30400
I
See Footnote (2012 GRAT)
Options
69.475
2013-08-15
4
M
0
79793
0
D
2015-02-21
Humana Common
79793
79792
D
Options
61.18
2013-08-15
4
M
0
59024
0
D
2018-02-17
Humana Common
59024
29513
D
Options
88.6475
2019-02-23
Humana Common
101557
101557
D
Restricted Stock Units
Humana Common
20023
20023
D
Restricted Stock Units
Humana Common
19741
19741
D
Restricted Stock Units
Humana Common
2026
2026
D
Shares held in a trust for the benefit of reporting person's spouse.
Shares held in a trust for the benefit of reporting person's children.
Shares held in gift trust with reporting person's spouse as trustee.
Shares held in a GRAT with reporting person's spouse as trustee.
Right to buy pursuant to 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 2/17/12 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.
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 2/17/11, 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.
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) under the Company's 2011 Plan. 100% of the award is vesting on 12/31/2013.
Sold at prices ranging from $91.29 to $91.76.
Michael B. McCallister
2013-08-16