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