-----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, Ti6FZhC6xAYPUNtIoAq0mvbPrTmUTNwJK1IdyJUZBxHmNY7JL/Wi11mkYJ++QEj7 xW7JS7V36Va8zAl8KDkWqw== 0000049071-02-000001.txt : 20020413 0000049071-02-000001.hdr.sgml : 20020413 ACCESSION NUMBER: 0000049071-02-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011212 FILED AS OF DATE: 20020108 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 2503720 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: CARLISLE DOUGLAS R CENTRAL INDEX KEY: 0001094996 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 500 W. MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 W. MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.txt FORM 4 - DECEMBER 12, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP (X) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Carlisle, Douglas R. 500 W. Main Street Louisville, KY 40202 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 12, 2001 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) Senior Vice President-Market Operations 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 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 | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common (1) | | | | | | |76,210 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) | | | | | | |23,083 |I |HRSP(2) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price 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 |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Option (3) |$15.5938| | | | | |9/17/|1/15/|Common(1) |4,060 | |4,060 |D | | | | | | | | |99 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |$15.5938| | | | | |1/15/|1/15/|Common(1) |4,060 | |4,060 |D | | | | | | | | |00 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |$15.5938| | | | | |1/15/|1/15/|Common(1) |4,060 | |4,060 |D | | | | | | | | |01 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |$15.5938| | | | | |9/17/|1/9/0|Common(1) |3,072 | |3,072 |D | | | | | | | | |99 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |$15.5938| | | | | |1/9/0|1/9/0|Common(1) |1,513 | |1,513 |D | | | | | | | | |0 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |$15.5938| | | | | |9/17/|1/12/|Common(1) |20,640 | |20,640 |D | | | | | | | | |99 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |$19.25 | | | | | |1/15/|1/15/|Common(1) |6,667 | |6,667 |D | | | | | | | | |00 |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |$19.25 | | | | | |1/15/|1/15/|Common(1) |6,667 | |6,667 |D | | | | | | | | |01 |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |$19.25 | | | | | |1/15/|1/15/|Common(1) |6,666 | |6,666 |D | | | | | | | | |02 |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(3) |$9.5938 | | | | | |9/9/0|9/9/0|Common(1) |10,423 | |10,423 |D | | | | | | | | |0 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(3) |$9.5938 | | | | | |9/9/0|9/9/0|Common(1) |10,423 | |10,423 |D | | | | | | | | |1 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(3) |$9.5938 | | | | | |9/9/0|9/9/0|Common(1) |10,423 | |10,423 |D | | | | | | | | |2 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(3) |$9.5938 | | | | | |9/9/0|9/9/0|Common(1) |1,244 | |1,244 |D | | | | | | | | |0 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(3) |$9.5938 | | | | | |9/9/0|9/9/0|Common(1) |1,244 | |1,244 |D | | | | | | | | |1 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(3) |$9.5938 | | | | | |9/9/0|9/9/0|Common(1) |1,243 | |1,243 |D | | | | | | | | |2 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |$6.5625 | | | | | |4/14/|4/14/|Common(1) |15,000 | |15,000 |D | | | | | | | | |98 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Phantom Stock Units (5|1-for-1 | | | | | |(5) |(5) |Common(1) |1,886 | |1,886 |I | | ) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
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, and amended as of May 27, 1998 and March 1, 1999, pursuant to the Company Rights Agreement, 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) Shares held for my benefit as of October 31, 2001, under the Humana Retirement and Savings Plan ("HRSP") exempt under Rule 16b-3. (3) Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees. (4) Right to buy pursuant to the Company's 1989 Stock Option Plan for Employees. (5) Phantom Stock Units held for my benefit as of October 31, 2001 under the Humana Excess Plan, exempt under Rule 16b-3(d). -----END PRIVACY-ENHANCED MESSAGE-----