0000049071-14-000107.txt : 20140825 0000049071-14-000107.hdr.sgml : 20140825 20140825131703 ACCESSION NUMBER: 0000049071-14-000107 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140822 FILED AS OF DATE: 20140825 DATE AS OF CHANGE: 20140825 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: LeClaire Brian P. CENTRAL INDEX KEY: 0001528285 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 141062136 MAIL ADDRESS: STREET 1: HUMANA INC., 500 W. MAIN ST. CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-08-22 0000049071 HUMANA INC HUM 0001528285 LeClaire Brian P. HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 SVP & Chief Information Off. Humana Common 2014-08-22 4 S 0 3250 123.0421 D 13196 D Humana Common 133 I See Footnote Options 72.84 2020-02-20 Humana Common 6760 6760 D Options 102.155 2021-02-18 Humana Common 11175 11175 D Restricted Stock Units Humana Common 6768 6768 D Restricted Stock Units Humana Common 2231 2231 D Restricted Stock Units Humana Common 2447 2447 D Phantom Stock Units Humana Common 61 61 I See Footnote Stock units held for the benefit of reporting person as of July 31, 2014 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. Right to buy pursuant to Humana Inc.'s 2011 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. 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 2/23/12, 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. Restricted stock units granted to reporting person on 2/18/14, 100% of the award is vesting on 2/18/17. Phantom Stock Units held for the benefit of reporting person as of July 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. Sold at prices ranging from $123.03 to $123.09. Brian P. LeClaire 2014-08-25