0000049071-13-000150.txt : 20131112
0000049071-13-000150.hdr.sgml : 20131111
20131112091015
ACCESSION NUMBER: 0000049071-13-000150
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131107
FILED AS OF DATE: 20131112
DATE AS OF CHANGE: 20131112
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: MURRAY JAMES E
CENTRAL INDEX KEY: 0001018658
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 131207366
MAIL ADDRESS:
STREET 1: 500 WEST MAIN STREET
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2013-11-07
0000049071
HUMANA INC
HUM
0001018658
MURRAY JAMES E
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
EVP & COO
Humana Common
2013-11-07
4
M
0
28668
.1667
A
119644
D
Humana Common
2013-11-07
4
F
0
14245
96.005
D
105399
D
Humana Common
3983
I
See Footnote
Humana Common
1356
I
See Footnote
Humana Common
14400
I
See Footnote
Humana Common
660
I
See Footnote
Options
61.18
2018-02-17
Humana Common
13070
13070
D
Options
88.6475
2019-02-23
Humana Common
48747
48747
D
Options
72.84
2020-02-20
Humana Common
20801
20801
D
Restricted Stock Units
Humana Common
8867
8867
D
Restricted Stock Units
2013-11-07
4
M
0
28668
.1667
D
Humana Common
28668
0
D
Restricted Stock Units
Humana Common
9476
9476
D
Restricted Stock Units
Humana Common
6864
6864
D
Phantom Stock Units
Humana Common
5
1687
I
See Footnote
Shares held by reporting person's spouse.
Shares held in The Murray Family Partnership.
Shares held for the benefit of reporting person as of October 31, 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 Company's 2003 Stock Incentive Plan.
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.
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 02/17/11, 100% of the award is vesting on 02/17/14.
Restricted stock units granted to reporting person on 11/07/11, 100% of the award is vesting on 11/07/13.
Restricted stock units granted to reporting person on 02/23/12, 100% of the award is vesting on 02/23/15.
Restricted stock units granted to reporting person on 02/20/13, 100% of the award is vesting on 02/20/16.
Transfer of Shares from Family Partnership to Family Trust - Mr. Murray's spouse is the trustee and his family members are the beneficiaries.
Phantom Stock Units held for the benefit of reporting person as of October 31, 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.
James E. Murray
2013-11-08