-----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, PCY/9b7LQHa1OpJkuelIY4w7Hpyj3dDs0zxtkiKO0ii4KVg28fcwzvJ6qk5RRH95 6XjdpeTQyWsRsIiUWe1LLg== 0000049071-02-000027.txt : 20020415 0000049071-02-000027.hdr.sgml : 20020415 ACCESSION NUMBER: 0000049071-02-000027 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20020402 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: 02600314 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 OFFICER FILING VALUES: FORM TYPE: 4 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 4 1 edgar.txt FORM 4 - MARCH 31, 2002 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) 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 Liston, Thomas J. Humana Inc. 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 March 31, 2002 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 - Strategy & Corporate Development 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) | | | | | | |53,855 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) | | | | | | |880 |D |Custodian for Child | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |880 |D |Custodian for Child | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |720 |D |Custodian for Child | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | |8,650 |I |HRSP (3) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 (2) |15.5938 | | | | | |9/17/|1/15/|Common (1) |5,800 | |5,800 |D | | | | | | | | |99 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |15.5938 | | | | | |1/15/|1/15/|Common (1) |5,800 | |5,800 |D | | | | | | | | |00 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |15.5938 | | | | | |1/15/|1/15/|Common (1) |5,800 | |5,800 |D | | | | | | | | |01 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |15.5938 | | | | | |9/17/|1/9/0|Common (1) |24,576 | |24,576 |D | | | | | | | | |99 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |15.5938 | | | | | |1/9/0|1/9/0|Common (1) |12,104 | |12,104 |D | | | | | | | | |0 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |15.5938 | | | | | |9/17/|8/12/|Common (1) |26,370 | |26,370 |D | | | | | | | | |99 |06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |15.5938 | | | | | |9/17/|9/17/|Common (1) |6,090 | |6,090 |D | | | | | | | | |99 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |15.5938 | | | | | |9/17/|1/12/|Common (1) |13,760 | |13,760 |D | | | | | | | | |99 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |19.25 | | | | | |1/15/|1/1/5|Common (1) |6,667 | |6,667 |D | | | | | | | | |00 |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |19.25 | | | | | |1/15/|1/15/|Common (1) |6,667 | |6,667 |D | | | | | | | | |01 |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |19.25 | | | | | |1/15/|1/15/|Common (1) |6,666 | |6,666 |D | | | | | | | | |02 |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |3,334 | |3,334 |D | | | | | | | | |0 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |3,333 | |3,333 |D | | | | | | | | |1 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |3,333 | |3,333 |D | | | | | | | | |2 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |14,096 | |14,096 |D | | | | | | | | |01 |10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |14,096 | |14,096 |D | | | | | | | | |02 |10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |14,096 | |14,096 |D | | | | | | | | |03 |10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |2,571 | |2,571 |D | | | | | | | | |01 |10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |2,571 | |2,571 |D | | | | | | | | |02 |10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |2,570 | |2,570 |D | | | | | | | | |03 |10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (2) |12.995 |3/13/|A |V|3,334 |A |3/13/|3/13/|Common (1) |3,334 | |3,334 |D | | | |02 | | | | |03 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (2) |12.995 |3/13/|A |V|3,333 |A |3/13/|3/13/|Common (1) |3,333 | |3,333 |D | | | |02 | | | | |04 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (2) |12.995 |3/13/|A |V|3,333 |A |3/13/|3/13/|Common (1) |3,333 | |3,333 |D | | | |02 | | | | |05 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
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 January 31, 2002 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). HRSP amount reported on February 28, 2002 Form 4 were incorrectly quoted as 12,472 shares. The correct amount should have been 8,626 shares. Also,2,549.7 Phantom Stock Units were reported inadvertently on the same Form 4. Mr. Liston holds no Phantom Stock Units. -----END PRIVACY-ENHANCED MESSAGE-----