0000049071-14-000038.txt : 20140219 0000049071-14-000038.hdr.sgml : 20140219 20140219173429 ACCESSION NUMBER: 0000049071-14-000038 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140217 FILED AS OF DATE: 20140219 DATE AS OF CHANGE: 20140219 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: PERKINS BRUCE D CENTRAL INDEX KEY: 0001018659 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 14626941 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-02-17 1 0000049071 HUMANA INC HUM 0001018659 PERKINS BRUCE D HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Sgmt Pres, Healthcare Services Humana Common 2014-02-17 4 M 0 7355 .1667 A 18340 D Humana Common 2014-02-17 4 F 0 2394 99.235 D 15946 D Humana Common 416 I See Footnote Options 79.655 2019-06-20 Humana Common 5411 5411 D Options 72.84 2020-02-20 Humana Common 7800 7800 D Options 102.155 2014-02-18 4 A 0 8940 0 A 2021-02-18 Humana Common 8940 8940 D Restricted Stock Units .1667 2014-02-17 4 M 0 7355 .1667 D Humana Common 7355 0 D Restricted Stock Units 0 Humana Common 6768 6768 D Restricted Stock Units 0 Humana Common 1883 1883 D Restricted Stock Units 0 Humana Common 2574 2574 D Restricted Stock Units 0 2014-02-18 4 A 0 1958 0 A Humana Common 1958 1958 D Phantom Stock Units Humana Common 504 504 I See Footnote Shares held for the benefit of reporting person as of January 31, 2014 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 the Company's 2003 Stock Incentive Plan. Right to buy pursuant to the Company's 2011 Stock Incentive Plan. Non-Qualified stock options granted to reporting person on 6/20/12, NQ options vesting in three increments from 6/20/13 to 6/20/15. 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. Incentive and Non-Qualified stock options granted to reporting person on 02/18/14, vesting in three increments from 02/18/15 to 02/18/17. 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 6/20/12, 100% of the award is vesting on 6/20/15. Restricted stock units granted to reporting person on 02/20/13, 100% of the award is vesting on 02/20/16. Restricted stock units granted to reporting person on 02/18/14, 100% of the award is vesting on 02/18/17. Phantom Stock Units held for the benefit of reporting person as of January 31, 2014 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. The Form 4 is additionally being filed to notify that effective February 19, 2014, the reporting person is no longer designated as an Officer, and is no longer subject to Section 16. Bruce D. Perkins 2014-02-19