0000049071-14-000040.txt : 20140219 0000049071-14-000040.hdr.sgml : 20140219 20140219173632 ACCESSION NUMBER: 0000049071-14-000040 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: McClain Tim S CENTRAL INDEX KEY: 0001560914 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 14626956 MAIL ADDRESS: STREET 1: 500 W. MAIN ST. CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-02-17 1 0000049071 HUMANA INC HUM 0001560914 McClain Tim S HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Group Pres, Govt & Other Busin Humana Common 2014-02-17 4 M 0 1635 .1667 A 1717 D Humana Common 2014-02-17 4 F 0 616 99.235 D 1101 D Options 36.52 2016-08-27 Humana Common 1667 1667 D Options 88.6475 2019-02-23 Humana Common 3971 3971 D Options 72.84 2020-02-20 Humana Common 4940 4940 D Options 102.155 2014-02-18 4 A 0 4470 0 A 2021-02-18 Humana Common 4470 4470 D Restricted Stock Units 2014-02-17 4 M 0 1635 .1667 D Humana Common 1635 0 D Restricted Stock Units Humana Common 3130 3130 D Restricted Stock Units Humana Common 1630 1630 D Restricted Stock Units 2014-02-18 4 A 0 979 0 A Humana Common 979 979 D 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 8/27/09, 100% vested. Non-qualified stock options granted to reporting person on 2/23/12, vesting 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. 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. 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 2003 Stock Incentive Plan. 100% of the award is vesting on 02/17/14. 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 Stock Incentive Plan. 100% of the award is vesting on 02/23/15. 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 Stock Incentive Plan. 100% of the award is vesting on 02/20/16. 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 Stock Incentive Plan. 100% of the award is vesting on 02/18/17. 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. Tim S. McClain 2014-02-19