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