-----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, VCWHO5XbutRVdia+cJg3RJpYtXn9u9wCaERzidpyEZNCJ1I3sWtxCwFkOEgE+zg3 N+p79H1edOLOMTcPYSIC7g== 0000049071-03-000069.txt : 20030811 0000049071-03-000069.hdr.sgml : 20030811 20030811150413 ACCESSION NUMBER: 0000049071-03-000069 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: LISTON THOMAS J CENTRAL INDEX KEY: 0001119596 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 03834317 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.xml PRIMARY DOCUMENT X0201 42003-08-07 0000049071 HUMANA INC HUM 0001119596 LISTON THOMAS J HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0100Sr VP-Strategy & Corp DevHumana Common2003-08-074F01692516.16D39410DHumana Common9476ISee FootnoteHumana Common2480ISee FootnoteOptions15.59382005-01-12Humana Common1376013760DOptions15.59382006-08-12Humana Common2637026370DOptions15.59382007-01-09Humana Common3668036680DOptions15.59382008-01-15Humana Common1740017400DOptions15.59382008-09-17Humana Common60906090DOptions19.252009-01-15Humana Common2000020000DOptions9.59382009-09-09Humana Common1000010000DOptions7.09382010-07-13Humana Common5000050000DOptions12.9952012-03-13Humana Common1000010000DOptions9.262013-03-13Humana Common1000010000DEach share of Common Stock contains a Right adopted on March 5, 1987, pursuant to the Company Rights Ag reement, 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 the benefit of reporting person 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).Shares held by reporting person as custodian for three children.Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees.Non-Qualified stock options granted to reporting person on 9/17/98 vesting on 9/17/99.Non-Qualified stock options granted to reporting person on 9/17/98 vesting on 1/9/00.Non-Qualified stock options granted to reporting person on 9/17/98 vesting on 1/15/01.Non-Qualified stock options granted to reporting person on 1/15/99 vesting in three increments from 1/15/00 to 1/15/02.Non-Qualified stock options granted to reporting person on 9/9/99, vesting in three increments from 9/9/00 and 9/9/02.Incentive and Non-Qualified stock options granted to reporting person on 7/13/00 vesting in three increments each from 7/13/01 to 7/13/03.Incentive and Non-Qualified stock options granted to reporting person on 3/13/02, vesting in three increments each from 3/13/03 to 3/13/05.Incentive stock options granted to reporting person on 3/13/03 vesting in three increments from 3/13/04 to 3/13/06.Thomas J. Liston2003-08-0 8 -----END PRIVACY-ENHANCED MESSAGE-----