-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EgZEv+bJkBC0sz8T7E+kSWdS84Bv5+aR1NNu78YcwkcOpzEGgVD/yG2bGodvlzJM EbRLqFhP5J8Szq3eZpuSig== 0000049071-97-000037.txt : 19970222 0000049071-97-000037.hdr.sgml : 19970222 ACCESSION NUMBER: 0000049071-97-000037 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970213 SROS: NYSE SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 97530970 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025803708 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 COMPANY DATA: COMPANY CONFORMED NAME: MCCALLISTER MICHAEL B CENTRAL INDEX KEY: 0001018657 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025803778 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 5 1 FORM 5 - DECEMBER 31, 1996 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). ( ) Form 3 Holdings Reported ( ) Form 4 Transactions Reported 1. Name and Address of Reporting Person McCallister, Michael B. 500 W. Main St Louisville, KY 40202 USA 2. Issuer Name and Ticker or Trading Symbol Humana Inc. HUM 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year December 31, 1996 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Division I President 7. Individual or Joint/Group Reporting (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | |Transaction| or Disposed of (D) | Securities |ect | Beneficial Ownership | |Date |Code| | Beneficially |(D)or | | | | | | A/| | Owned at |Indir | | | | | Amount | D | Price | End of Year |ect(I)| | ___________________________________________________________________________________________________________________________________| Common(1) | | | | | |0 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(2) |(4) |A |11308.1 |A |(4) |28,380.7 |I |HRSP(4) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer |Date |Code| rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise Pr | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |ice of | | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity | | | Amount | |ble | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Common(2) |5.7980 | | | | |09/01|09/01|Common(1) |999 | |999 |D | | | | | | | |/91 |/98 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.8694 | | | | |03/02|03/02|Common(1) |5,000 | |5,000 |D | | | | | | | |/92 |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |11.0131 | | | | |09/13|09/13|Common(1) |2,000 | |2,000 |D | | | | | | | |/91 |/00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |11.0131 | | | | |09/13|09/13|Common(1) |2,000 | |2,000 |D | | | | | | | |/92 |/00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |11.0131 | | | | |09/13|09/13|Common(1) |2,000 | |2,000 |D | | | | | | | |/93 |/00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |8.9098 | | | | |11/18|11/18|Common(1) |1,000 | |1,000 |D | | | | | | | |/92 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |8.9098 | | | | |11/18|11/18|Common(1) |1,000 | |1,000 |D | | | | | | | |/93 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |8.9098 | | | | |11/18|11/18|Common(1) |1,000 | |1,000 |D | | | | | | | |/94 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.5625 | | | | |04/14|04/14|Common(1) |31,250 | |31,250 |D | | | | | | | |/95 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.5625 | | | | |04/14|04/14|Common(1) |31,250 | |31,250 |D | | | | | | | |/96 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.5625 | | | | |04/14|04/14|Common(1) |31,250 | |31,250 |D | | | | | | | |/97 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.5625 | | | | |04/14|04/14|Common(1) |31,250 | |31,250 |D | | | | | | | |/98 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |23.0625 | | | | |01/12|01/12|Common(1) |14,167 | |14,167 |D | | | | | | | |/96 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |23.0625 | | | | |01/12|01/12|Common(1) |14,167 | |14,167 |D | | | | | | | |/97 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |23.0625 | | | | |01/12|01/12|Common(1) |14,166 | |14,166 |D | | | | | | | |/98 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(5) |15.625 | | | | |07/11|07/11|Common(1) |45,000 | |45,000 |D | | | | | | | |/97 |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(5) |15.625 | | | | |07/11|07/11|Common(1) |45,000 | |45,000 |D | | | | | | | |/98 |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Commn(5) |15.625 | | | | |07/11|07/11|Common(1) |45,000 | |45,000 |D | | | | | | | |/99 |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Each share of Common Stock contains a Right adopted on March 5, 1987, as amended and restated on February 14, 1996, pursuant to the Company's Rights Agreement which entitles holders of the Company's Common Stock in the event certain specified events occur, to acquire 1/100th of a share of Series A Participating Preferred Stock at a price of $145 per fractional share. (2) Right to buy pursuant to the Company's 1981 Non-Qualified Stock Option Plan. (3) Right to buy pursuant to the Company's 1989 Stock Option Plan for Employees. (4) On-going acquisitions of shares (including intra-fund transfer already reported) from May 31,1996 (date of election) to December 31,1996 at prices ranging from $16.326 to $23.75 pursuant to the Humana Retirement and Savings Plan (HRSP) and the related phantom acquisitions under the Company Excess Benefit Plans (SERP) exempt under 16a-3(f)(1)(i)(B); being listed to report any shares acquired before SEC rule changes in 8/96. (5) Right to buy pursuant the Company's 1996 Stock Incentive Plan for Employees. -----END PRIVACY-ENHANCED MESSAGE-----