0000049071-13-000154.txt : 20131114 0000049071-13-000154.hdr.sgml : 20131114 20131114110305 ACCESSION NUMBER: 0000049071-13-000154 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110729 FILED AS OF DATE: 20131114 DATE AS OF CHANGE: 20131114 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: DAMELIO FRANK A CENTRAL INDEX KEY: 0001194004 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 131217642 MAIL ADDRESS: STREET 1: C/O PFIZER INC. STREET 2: 235 EAST 42ND ST. CITY: NEW YORK STATE: NY ZIP: 10017 4/A 1 edgar.xml PRIMARY DOCUMENT X0306 4/A 2011-07-29 2013-05-20 0000049071 HUMANA INC HUM 0001194004 DAMELIO FRANK A PFIZER INC. 235 EAST 42ND STREET, 235/23/5 NEW YORK NY 10017 1 0 0 0 Humana Common 2013-05-20 4 M 0 2500 23.05 A 20829 D Humana Common 2013-05-20 4 F 0 721 79.90 D 20108 D Humana Common 2011-07-29 4 P 0 526 79.8276 A 20634 D Option 23.05 2013-05-20 4 M 0 2500 0 D 2005-01-02 2014-01-02 Humana Common 2500 0 D Stock Unit Humana Common 1821 1821 D Stock Unit Humana Common 14025 14025 D Stock Unit Humana Common 2467 2467 D Stock Unit Humana Common 318 318 D Restricted Stock Units Humana Common 2026 2026 D Annual Director's fee payable in stock units, deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1). Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis (over a five-year period), exempt pursuant to Rule 16(b)-3(d)(1). Director's cash fee elected to be converted into stock units, deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis (over a five-year period), exempt pursuant to Rule 16(b)-3(d)(1). Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan. Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d). 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) under the Company's 2011 Plan. 100% of the award is vesting on 12/31/2013. Beginning with July 2011, on each of the Company's quarterly dividend payment dates, reporting person's brokerage firm purchased additional Humana shares with the cash dividend. Inadvertantly, these nominal purchases were not reported. Reporting person had no opposite way transactions during this time. Shares purchased at prices ranging from $70.1712 to $91.2440. Frank A. D'Amelio 2013-11-14