-----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, Eegm9HyRnLn7ISokcBhCK2j6oQI0GnZGVur1cYshILyz1/qr9PP8sluiK2/77PAQ BzGnsji+peXrYkyB9cKUNA== /in/edgar/work/20000724/0000049071-00-000060/0000049071-00-000060.txt : 20000921 0000049071-00-000060.hdr.sgml : 20000921 ACCESSION NUMBER: 0000049071-00-000060 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000713 FILED AS OF DATE: 20000724 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HUMANA INC CENTRAL INDEX KEY: 0000049071 STANDARD INDUSTRIAL CLASSIFICATION: [6324 ] IRS NUMBER: 610647538 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-05975 FILM NUMBER: 677419 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 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: LISTON THOMAS J CENTRAL INDEX KEY: 0001119596 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 3 1 0001.txt FORM 3 - JULY 13, 2000 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person Liston, Thomas J. Humana Inc. 500 W. Main Street Louisville, KY 40202 2. Date of Event Requiring Statement (Month/Day/Year) July 13, 2000 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Humana Inc. HUM 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Senior Vice President - Strategy & Corporate Development 6. If Amendment, Date of Original (Month/Day/Year) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. Amount of |3. Ownership |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | ___________________________________________________________________________________________________________________________________| Common (1) |6,000 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) |880 |D |Custodian for Child | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) |880 |D |Custodian for Child | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) |720 |D |Custodian for Child | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) |8,118 |I |HRSP(3) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | ___________________________________________________________________________________________________________________________________| Option (2) |9/17/99 |1/15/08 |Common (1) |5,800 |15.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |1/15/00 |1/15/08 |Common (1) |5,800 |15.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |1/15/01 |1/15/08 |Common (1) |5,800 |15.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9/17/99 |1/9/07 |Common (1) |24,576 |15.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |1/9/00 |1/9/07 |Common (1) |12,104 |15.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9/17/99 |8/12/06 |Common (1) |26,370 |15.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9/17/99 |9/17/08 |Common (1) |6,090 |15.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9/17/99 |1/12/05 |Common (1) |13,760 |15.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |1/15/00 |1/15/09 |Common (1) |6,667 |19.25 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |1/15/01 |1/15/09 |Common (1) |6,667 |19.25 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |1/15/02 |1/15/09 |Common (1) |6,666 |19.25 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9/9/00 |9/9/09 |Common (1) |3,334 |9.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9/9/01 |9/9/09 |Common (1) |3,333 |9.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9/9/02 |9/9/09 |Common (1) |3,333 |9.5938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (2) |7/13/01 |7/13/10 |Common (1) |14,096 |7.0938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (2) |7/13/02 |7/13/10 |Common (1) |14,096 |7.0938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (2) |7/13/03 |7/13/10 |Common (1) |14,096 |7.0938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (2) |7/13/01 |7/13/10 |Common (1) |2,571 |7.0938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (2) |7/13/02 |7/13/10 |Common (1) |2,571 |7.0938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (2) |7/13/03 |7/13/10 |Common (1) |2,571 |7.0938 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Each share of Common Stock contains a Right adopted on March 5, 1987, pursuant to the Company Rights Agreement, as amended and restated on February 14, 1996, and amended as of May 27, 1998 and March 1, 1999, which entitles holders of the Company's Common Stock, in the event certain specified events occur, to acquire 1/100 of a share of Series A Participating Preferred Stock at a price of $145 per fractional share. (2) Right to buy pursuant to Company's 1996 Stock Incentive Plan for Employees. (3) Shares held for my benefit as of June 30, 2000 under the Humana Retirement & Savings Plan ("HRSP") and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c). -----END PRIVACY-ENHANCED MESSAGE-----