-----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, SU5UImu8eDdr5F6xQcMbMCYIIw96IxFTniz/8gAwySkhFfI/XLmlBPb+82GfN59j XTr42oLagCuPwcR0EGOnjw== 0000049071-03-000029.txt : 20030404 0000049071-03-000029.hdr.sgml : 20030404 20030404145244 ACCESSION NUMBER: 0000049071-03-000029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030402 FILED AS OF DATE: 20030404 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: 03639976 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HIPWELL ARTHUR P CENTRAL INDEX KEY: 0001018656 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 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 4 1 edgar.txt FORM 4 - APRIL 2, 2003 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 Hipwell, Arthur P. Humana Inc. 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 April 2, 2003 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 & General Counsel 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) | | | | | | |134,039 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) |4/2/03|J(3)| |1,311 |A |$9.42 |17,454 |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) |17.9375 | | | | | |1/13/|1/13/|Common (1) |18,750 | |18,750 |D | | | | | | | | |96 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |17.9375 | | | | | |1/13/|1/13/|Common (1) |18,750 | |18,750 |D | | | | | | | | |97 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |17.9375 | | | | | |1/13/|1/13/|Common (1) |18,750 | |18,750 |D | | | | | | | | |98 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |17.9375 | | | | | |9/1/9|1/13/|Common (1) |18,750 | |18,750 |D | | | | | | | | |9 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |16.9375 | | | | | |7/20/|7/20/|Common (1) |6,250 | |6,250 |D | | | | | | | | |96 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |16.9375 | | | | | |7/20/|7/20/|Common (1) |6,250 | |6,250 |D | | | | | | | | |97 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |16.9375 | | | | | |7/20/|7/20/|Common (1) |6,250 | |6,250 |D | | | | | | | | |98 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |16.9375 | | | | | |9/1/9|7/20/|Common (1) |6,250 | |6,250 |D | | | | | | | | |9 |04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (2) |15.5938 | | | | | |9/1/9|1/12/|Common (1) |68,800 | |68,800 |D | | | | | | | | |9 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |9/1/9|1/9/0|Common (1) |36,680 | |36,680 |D | | | | | | | | |9 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |15.5938 | | | | | |9/1/9|1/15/|Common (1) |4,316 | |4,316 |D | | | | | | | | |9 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |15.5938 | | | | | |9/1/9|1/15/|Common (1) |21,784 | |21,784 |D | | | | | | | | |9 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |10,423 | |10,423 |D | | | | | | | | |0 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |10,423 | |10,423 |D | | | | | | | | |1 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |10,423 | |10,423 |D | | | | | | | | |2 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |6,244 | |6,244 |D | | | | | | | | |0 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |6,244 | |6,244 |D | | | | | | | | |1 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |6,243 | |6,243 |D | | | | | | | | |2 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Phantom Stock Units (5|1-for-1 | | | | | |(5) |(5) |Common (1) |7,602 | |7,602 |D | | ) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |12.995 | | | | | |3/13/|3/13/|Common (1) |7,305 | |7,305 |D | | | | | | | | |03 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |12.995 | | | | | |3/13/|3/13/|Common (1) |7,305 | |7,305 |D | | | | | | | | |04 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |12.995 | | | | | |3/13/|3/13/|Common (1) |7,305 | |7,305 |D | | | | | | | | |05 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |12.995 | | | | | |3/13/|3/13/|Common (1) |7,695 | |7,695 |D | | | | | | | | |03 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |12.995 | | | | | |3/13/|3/13/|Common (1) |7,695 | |7,695 |D | | | | | | | | |04 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |12.995 | | | | | |3/13/|3/13/|Common (1) |7,695 | |7,695 |D | | | | | | | | |05 |12 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |9.26 | | | | | |3/13/|3/13/|Common (1) |16,667 | |16,667 |D | | | | | | | | |04 |13 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |9.26 | | | | | |3/13/|3/13/|Common (1) |16,667 | |16,667 |D | | | | | | | | |05 |13 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ(4) |9.26 | | | | | |3/13/|3/13/|Common (1) |5,867 | |5,867 |D | | | | | | | | |06 |13 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO(4) |9.26 | | | | | |3/13/|3/13/|Common (1) |10,799 | |10,799 |D | | | | | | | | |06 |13 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
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 as amended on May 27, 1998 and March 1, 1999, pursuant to the Company's Rights Agreement, which entitles holders of the Company's Common, 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 the Company's 1989 Stock Option Plan for Employees. (3) Shares held on my behalf pursuant to the Humana Retirement & Savings Plan as of March 31, 2003 including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c). The number of shares being reported represent annual funding for the 2002 Plan year made on April 2, 2003. (4) Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees. (5) Phantom stock units held for my benefit as of March 31, 2003 under the Humana Excess Plans, exempt under Rule 16b-3(d). -----END PRIVACY-ENHANCED MESSAGE-----