0000049071-13-000120.txt : 20130809 0000049071-13-000120.hdr.sgml : 20130809 20130809105308 ACCESSION NUMBER: 0000049071-13-000120 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130808 FILED AS OF DATE: 20130809 DATE AS OF CHANGE: 20130809 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: McCulley Steven E CENTRAL INDEX KEY: 0001301372 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 131025007 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-08-08 0000049071 HUMANA INC HUM 0001301372 McCulley Steven E HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Vice President & Controller Humana Common 2013-08-08 4 S 0 10000 92.5362 D 9327 D Humana Common 695 I See Footnote Options 72.84 2020-02-20 Humana Common 4576 4576 D Restricted Stock Units Humana Common 8990 8990 D Restricted Stock Units Humana Common 5076 5076 D Restricted Stock Units Humana Common 1510 1510 D Phantom Stock Units Humana Common 7 7 I See Footnote Stock units held for the benefit of reporting person as of July 31, 2013 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. 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 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 2/17/11, 100% of the award is vesting on 2/17/14. 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. Phantom Stock Units held for the benefit of reporting person as of July 31, 2013 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. Steven E. McCulley 2013-08-09