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