0000049071-12-000001.txt : 20120103
0000049071-12-000001.hdr.sgml : 20120102
20120103152304
ACCESSION NUMBER: 0000049071-12-000001
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111230
FILED AS OF DATE: 20120103
DATE AS OF CHANGE: 20120103
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: 12501698
MAIL ADDRESS:
STREET 1: 500 WEST MAIN STREET
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0304
4
2011-12-30
0000049071
HUMANA INC
HUM
0001119596
LISTON THOMAS J
HUMANA INC.
500 WEST MAIN STREET
LOUISVILLE
KY
40202
0
1
0
0
Sr VP-Senior Products
Humana Common
2011-12-30
4
M
0
17900
32.70
A
112765
D
Humana Common
2011-12-30
4
M
0
10000
12.995
A
122765
D
Humana Common
2011-12-30
4
M
0
10000
9.26
A
132765
D
Humana Common
2011-12-30
4
M
0
10000
21.275
A
142765
D
Humana Common
2011-12-30
4
M
0
8564
53.96
A
151329
D
Humana Common
2011-12-30
4
M
0
4866
62.10
A
156195
D
Humana Common
2011-12-30
4
M
0
6269
69.475
A
162464
D
Humana Common
2011-12-30
4
M
0
5998
45.975
A
168462
D
Humana Common
2011-12-30
4
M
0
5375
41.83
A
173837
D
Humana Common
2011-12-30
4
S
0
73740
87.569
D
100097
D
Humana Common
9851
I
See Footnote
Options
32.70
2011-12-30
4
M
0
17900
32.70
D
2012-02-24
Humana Common
17900
0
D
Options
12.995
2011-12-30
4
M
0
10000
12.995
D
2012-03-13
Humana Common
10000
0
D
Options
9.26
2011-12-30
4
M
0
10000
9.26
D
2013-03-13
Humana Common
10000
0
D
Options
21.275
2011-12-30
4
M
0
10000
21.275
D
2014-02-24
Humana Common
10000
0
D
Options
53.96
2011-12-30
4
M
0
8564
53.96
D
2013-02-23
Humana Common
8564
0
D
Options
62.10
2011-12-30
4
M
0
4866
62.10
D
2014-02-22
Humana Common
4866
0
D
Options
69.475
2011-12-30
4
M
0
6269
69.475
D
2015-02-21
Humana Common
6269
0
D
Options
45.975
2011-12-30
4
M
0
5998
45.975
D
2015-04-01
Humana Common
5998
11995
D
Options
41.83
2011-12-30
4
M
0
5375
41.83
D
2016-02-19
Humana Common
5375
2688
D
Restricted Stock Units
Humana Common
4095
4095
D
Restricted Stock Units
Humana Common
5721
5721
D
Shares held for the benefit of reporting person as of November 30, 2011 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 the Company's 1996 Stock Incentive Plan for Employees.
Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, NQ options vesting on 3/13/03, and ISO's vesting in two increments on 3/13/04 and 3/13/05.
Incentive stock options granted to reporting person on 3/13/03 vesting in three increments from 3/13/04 to 3/13/06.
Right to buy pursuant to the Company's 2003 Stock Incentive Plan.
Incentive and Non-Qualified stock options granted to reporting person on 2/24/04, NQ vesting in two increments on 2/24/05 and 2/24/06, and ISO's vesting in three increments from 2/24/05 to 2/24/07.
Incentive and Non-Qualified stock options granted to reporting person on 2/24/05, NQ options vesting in three increments from 2/24/06 to 2/24/08, and ISO's vesting in two increments on 2/24/07 and 2/24/08.
Incentive and Non-Qualified stock options granted to reporting person on 2/23/06, NQ options vesting in three increments from 2/23/07 to 2/23/09, and ISO's vesting on 2/23/09.
Incentive and Non-Qualified stock options granted to reporting person on 2/22/07, NQ options vesting in three increments from 2/22/08 to 2/22/10, and ISO's vesting on 2/22/10.
Incentive and Non-Qualified stock options granted to reporting person on 2/21/08, NQ options vesting in three increments from 2/21/09 to 2/21/11, and ISO's vesting on 2/21/11.
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.
Right to receive one share per restricted stock unit pursuant to the Company's 2003 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 2/18/10, 100% of the award is vesting on 2/18/13.
Restricted stock units granted to reporting person on 2/17/11, 100% of the award is vesting on 2/17/14.
Thomas J. Liston
2012-01-03