-----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, Bjhct0LODeU1z/78B5N3BHW6SpI6ZuZSxphYav6i733KserBW/G17RKhcUoHm0us TKB6QGbTGrb5+1O4gWZtZQ== 0000049071-02-000068.txt : 20020906 0000049071-02-000068.hdr.sgml : 20020906 20020906091906 ACCESSION NUMBER: 0000049071-02-000068 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020904 FILED AS OF DATE: 20020906 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: 02757962 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 FORMER COMPANY: FORMER CONFORMED NAME: HERITAGE HOUSE OF AMERICA INC DATE OF NAME CHANGE: 19671129 FORMER COMPANY: FORMER CONFORMED NAME: EXTENDICARE INC DATE OF NAME CHANGE: 19740404 COMPANY DATA: COMPANY CONFORMED NAME: FASOLA KENNETH J CENTRAL INDEX KEY: 0001030150 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 - SEPTEMBER 4, 2002 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 Fasola, Kenneth J. 500 West Main Street 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 September 4, 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) Chief Operating Officer-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) |09/04/|D (5| |150,000 |D | |22,249 |D | | |02 |) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) | | | | | | |24,430 |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)| | ___________________________________________________________________________________________________________________________________| Phantom Stock Units (5|1-for-1 | | | | | |(5) |(5) |Common (1) |14,828 | |14,828 |D | | ) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |15.5938 | | | | | |9/17/|09/04|Common (1) |11,086 | |11,086 |D | | | | | | | | |99 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |15.5938 | | | | | |11/16|09/04|Common (1) |5,542 | |5,542 |D | | | | | | | | |/99 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |15.5928 | | | | | |11/16|09/04|Common (1) |5,542 | |5,542 |D | | | | | | | | |/00 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |9/17/|09/04|Common (1) |79,110 | |79,110 |D | | | | | | | | |99 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |9/17/|09/04|Common (1) |49,152 | |49,152 |D | | | | | | | | |99 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |9/17/|09/04|Common (1) |24,208 | |24,208 |D | | | | | | | | |99 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (4) |15.5938 | | | | | |9/17/|09/04|Common (1) |4,316 | |4,316 |D | | | | | | | | |99 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (4) |15.5938 | | | | | |1/15/|09/04|Common (1) |4,316 | |4,316 |D | | | | | | | | |00 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (4) |15.5938 | | | | | |1/15/|09/04|Common (1) |4,316 | |4,316 |D | | | | | | | | |01 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (4) |15.5938 | | | | | |9/17/|09/04|Common (1) |7,284 | |7,284 |D | | | | | | | | |99 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (4) |15.5038 | | | | | |1/15/|09/04|Common (1) |7,284 | |7,284 |D | | | | | | | | |00 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (4) |15.5938 | | | | | |1/15/|09/04|Common (1) |7,284 | |7,284 |D | | | | | | | | |01 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(4) |19.25 | | | | | |1/15/|09/04|Common (1) |10,000 | |10,000 |D | | | | | | | | |00 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(4) |19.25 | | | | | |1/15/|09/04|Common (1) |10,000 | |10,000 |D | | | | | | | | |01 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(4) |19.25 | | | | | |1/15/|09/04|Common (1) |4,806 | |4,806 |D | | | | | | | | |02 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |19.25 | | | | | |1/15/|09/04|Common (1) |5,194 | |5,194 |D | | | | | | | | |02 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(4) |7.4688 | | | | | |11/18|09/04|Common (1) |33,334 | |33,334 |D | | | | | | | | |/00 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(4) |7.4688 | | | | | |11/18|09/04|Common (1) |33,333 | |33,333 |D | | | | | | | | |/01 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(4) |7.4688 |09/04|J (7| | | |09/04|09/04|Common (1) |33,333 | |33,333 |D | | | |/02 |) | | | |/02 |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |12.995 |09/04|D (6| |6,667 |D |3/13/|3/13/|Common (1) |0 | |0 |D | | | |/02 |) | | | |03 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |12.995 |09/04|D (6| |6,667 |D |3/13/|3/13/|Common (1) |0 | |0 |D | | | |/02 |) | | | |04 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |12.995 |09/04|D (6| |6,667 |D |3/13/|3/13/|Common (1) |0 | |0 |D | | | |/02 |) | | | |05 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
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 1/100th of a share of Series A Participating Preferred Stock at a price of $145 per fractional share. (2) Shares held for my benefit as ofJuly 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). (3) Right to buy pursuant to the Company's 1989 Stock Option Plan for Employees. (4) Right to buy pursuant to the Company's 1996 Stock Incentive Plan. (5) Phantom stock units held for my benefit as of July 31, 2002 under the Humana Excess Plans, exempt under Rule 16b-3(d). (6) Cancellation of unvested Restricted Stock Award and unvested Stock Options due to resignation from Company exempt under Rule 16b-3(e). (7) Vesting of Option accelerated to date of resignation as approved by the Company's Organization and Compensation Committee. -----END PRIVACY-ENHANCED MESSAGE-----