-----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, OMpeL0D7p1vR76Ogi5JCzTEQJpQuHTdy5o2VpDqdGEG4hC1sCQV5q65QAmfTbDZw joRk/dX/7zRG1oyzR9eT9w== 0000049071-03-000068.txt : 20030811 0000049071-03-000068.hdr.sgml : 20030811 20030811145929 ACCESSION NUMBER: 0000049071-03-000068 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030807 FILED AS OF DATE: 20030811 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERTKO JOHN M CENTRAL INDEX KEY: 0001109306 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 03834292 BUSINESS ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 WEST MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 WEST MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-08-07 0000049071 HUMANA INC HUM 0001109306 BERTKO JOHN M HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0100Vice President & Chief ActuaryHumana Common2003-08-074F01787416.16D37126DHumana Common1404ISee FootnoteOptions7.46882009-11-18Humana Common5000050000DOptions-ISO12.9952012-03-13Humana Common1000010000DOptions9.262013-03-13Humana Common2000020000DEach 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.Shares held for reporting person's benefit as of July 31, 2003 under the Humana Retirement & Savings Plan including a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, both exempt under Rule 16b-3(c).Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees.Non-qualified stock options were granted to reporting person on 11/18/99 vesting in four increments from 11/18/01 to 11/18/04.Incentive stock options were granted to rep orting person on 3/13/02 vesting in three increments from 3/13/03 to 3/13/05.Incentive and Non-qualified stock options were granted to reporting person on 3/13/03, NQ options vesting in two increments on 3/13/04 and 3/13/05, and ISO's to vest in three increments from 3/13/04 to 3/13/06.John M. Bertko2003-08-11 -----END PRIVACY-ENHANCED MESSAGE-----