-----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, CBSL2jk1IQXM1Qz1f8yZv06yz95Cq47JPKChTbnp2sGT5FmrEPhJcXYYMxZ0eiY0 yn2LRhGTQd+OxquvbEDGrw== 0000049071-03-000070.txt : 20030811 0000049071-03-000070.hdr.sgml : 20030811 20030811150926 ACCESSION NUMBER: 0000049071-03-000070 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: SHIELDS R EUGENE CENTRAL INDEX KEY: 0001119684 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 03834342 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 0001119684 SHIELDS R EUGENE HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0100Senior Vice President-Gov PrgmHumana Common2003-08-074F05098516.16D104271DHumana Common2003-08-084S02910016.16D75171DHumana Common2003-08-084S090016.17D74271DHumana Common1277ISee FootnoteHumana Common8731ISee FootnoteOptions15.59382008-01-15Humana Common1740017400DOptions15.59382008-09-17Humana Common3045030450DOptions15.59382007-01-09Humana Common2292522925DOptions15.59382005-01-12Humana Common34403440DOptions19.252009-01-15Humana Common2000020000DOptions9.59382009-09-09Humana Common2000020000DOptions12.9952012-03-13Humana Common2000020000DOptions9.262013-03-13Humana Common1500015000DPhantom Stock UnitsHumana Common37193719ISee FootnoteEach 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.Reporting person has a child over the age of majority living in his household who holds 1,277 shares.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).Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees.Non-Qualified stock options were granted to reporting person on 9/17/98 vesting in three increments from 9/17/99 to 1/15/01.Non-Qualified stock options were granted to reporting person on 9/17/98, all of which vest on 9/17/99.Non-Qualified stock options were granted to reporting person on 9/17/98 vesting in two increments from 9/17/99 to 1/9/00.Non-Qualified stock options were granted to reporting person on 9/17/98, all of which vest on 1/12/05.Non-Qualified stock options were granted to reporting person on 1/15/99 vesting in three increments from 1/15/00 to 1/15/02.Non-Qualified stock options were granted to reporting person on 9/9/99 vesting in three increments from 9/9/00 to 9/9/02.Incentive stock options were granted to reporting person on 3/13/02 vesting in thirds 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 to vest in two increments on 3/13/04 & 3/13/05, and ISO's t o vest in three increments from 3/13/04 to 3/13/06.Phantom Stock Units held for the benefit of reporting person as of July 31, 2003, convertible into common stock on a 1-for1 basis, under the Humana Excess Plan and exempt under Rule 16b-3(d).R. Eugene Shields2003-08-08 -----END PRIVACY-ENHANCED MESSAGE-----