0000049071-14-000041.txt : 20140219
0000049071-14-000041.hdr.sgml : 20140219
20140219173737
ACCESSION NUMBER: 0000049071-14-000041
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: LISTON THOMAS J
CENTRAL INDEX KEY: 0001119596
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 14626960
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
0001119596
LISTON THOMAS J
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
President - Retail Segment
Humana Common
2014-02-17
4
M
0
5721
.1667
A
107444
D
Humana Common
2014-02-17
4
F
0
2001
99.235
D
105443
D
Humana Common
10098
I
See Footnote
Options
45.975
2015-04-01
Humana Common
11995
11995
D
Options
41.83
2016-02-19
Humana Common
2688
2688
D
Options
89.145
2019-04-25
Humana Common
4661
4661
D
Options
72.84
2020-02-20
Humana Common
6240
6240
D
Options
102.155
2014-02-18
4
A
0
7264
0
A
2021-02-18
Humana Common
7264
7264
D
Restricted Stock Units
2014-02-17
4
M
0
5721
.1667
D
Humana Common
5721
0
D
Restricted Stock Units
Humana Common
5640
5640
D
Restricted Stock Units
Humana Common
1683
1683
D
Restricted Stock Units
Humana Common
2059
2059
D
Restricted Stock Units
2014-02-18
4
A
0
1591
0
A
Humana Common
1591
1591
D
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.
Incentive and Non-Qualified stock options granted to reporting person on 4/1/08, NQ options vesting in three increments from 4/1/11 to 4/1/13, and ISO's vesting in two increments on 4/1/12 and 4/1/13.
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 2/19/10 to 2/19/12.
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 4/25/13 to 4/25/15.
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 4/25/12, 100% of the award is vesting on 4/25/15.
Restricted stock units granted to reporting person on 2/20/13, 100% of the award is vesting on 2/20/16.
Restricted stock units granted to reporting person on 2/18/14, 100% of the award is vesting on 2/18/17.
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.
Thomas J. Liston
2014-02-19