0000049071-14-000009.txt : 20140103
0000049071-14-000009.hdr.sgml : 20140103
20140103145801
ACCESSION NUMBER: 0000049071-14-000009
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140102
FILED AS OF DATE: 20140103
DATE AS OF CHANGE: 20140103
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: McCulley Steven E
CENTRAL INDEX KEY: 0001301372
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 14505081
MAIL ADDRESS:
STREET 1: 500 WEST MAIN STREET
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-01-02
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
9327
D
Humana Common
695
I
See Footnote
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
Restricted Stock Units
2014-01-02
4
A
0
4850
0
A
Humana Common
4850
4850
D
Phantom Stock Units
Humana Common
7
7
I
See Footnote
Stock units held for the benefit of reporting person as of December 31, 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 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 December 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. Transaction reported reflects shares acquired for a quarterly allocation of dividend equivalents, allocated the last business day of the quarter.The amount of shares purchased was determined using the closing price of Humana stock on the dividend payable date of October 25, 2013.
Restricted Stock Units granted to reporting person on 01/02/14. 100% of the award is vesting on 01/02/17.
Steven E. McCulley
2014-01-03