0000049071-14-000111.txt : 20140910 0000049071-14-000111.hdr.sgml : 20140910 20140910130313 ACCESSION NUMBER: 0000049071-14-000111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140909 FILED AS OF DATE: 20140910 DATE AS OF CHANGE: 20140910 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: MURRAY JAMES E CENTRAL INDEX KEY: 0001018658 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 141095351 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2014-09-09 0000049071 HUMANA INC HUM 0001018658 MURRAY JAMES E HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 EVP & COO Humana Common 2014-09-09 4 G 0 958 0 D 88852 D Humana Common 3983 I See Footnote Humana Common 1356 I See Footnote Humana Common 7200 I See Footnote Humana Common 1061 I See Footnote Options 88.6475 2019-02-23 Humana Common 16249 16249 D Options 72.84 2020-02-20 Humana Common 13868 13868 D Options 102.155 2021-02-18 Humana Common 24584 24584 D Restricted Stock Units Humana Common 9476 9476 D Restricted Stock Units Humana Common 6864 6864 D Restricted Stock Units Humana Common 5384 5384 D Phantom Stock Units Humana Common 2517 2517 I See Footnote Shares held by reporting person's spouse. Shares held in The Murray Family Partnership. Shares held for the benefit of reporting person as of August 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 Company's 2003 Stock Incentive Plan. Right to buy pursuant to Company's 2011 Stock Incentive Plan. 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 2/23/13 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. 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 02/23/12, 100% of the award is vesting on 02/23/15. 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. Transfer of Shares from Family Partnership to Family Trust - Mr. Murray's spouse is the trustee and his family members are the beneficiaries. Phantom Stock Units held for the benefit of reporting person as of August 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 fluctuation due to changes in stock price. James E. Murray 2014-09-09