0000049071-15-000040.txt : 20150226 0000049071-15-000040.hdr.sgml : 20150226 20150226180704 ACCESSION NUMBER: 0000049071-15-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150224 FILED AS OF DATE: 20150226 DATE AS OF CHANGE: 20150226 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: 15654185 MAIL ADDRESS: STREET 1: HUMANA INC., 500 W. MAIN ST. CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-02-24 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 2015-02-24 4 M 0 4506 72.84 A 21971 D Humana Common 2015-02-24 4 M 0 3725 102.155 A 25696 D Humana Common 2015-02-24 4 S 0 2744 164.4739 D 22952 D Humana Common 2015-02-24 4 S 0 5487 164.5444 D 17465 D Humana Common 132 I See Footnote Options 72.84 2015-02-24 4 M 0 4506 72.84 D 2020-02-20 Humana Common 6760 2254 D Options 102.155 2015-02-24 4 M 0 3725 102.155 D 2021-02-18 Humana Common 3725 7450 D Options 164.645 2022-02-24 Humana Common 14913 14913 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 January 31, 2015 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 Company's 2003 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. Right to buy pursuant to Company's 2011 Stock Incentive Plan. 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 buy pursuant to Company's 2011 Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/15, vesting in three increments from 02/24/16 to 02/24/18. 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 2/20/13, 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 January 31, 2015 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. Shares sold at prices ranging from $164.45 to $164.496 Shares sold at prices ranging from $164.521 to $164.564 Brian P. LeClaire 2015-02-26