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Proc-Type: 2001,MIC-CLEAR
Originator-Name: webmaster@www.sec.gov
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0000049071-03-000084.txt : 20030825
0000049071-03-000084.hdr.sgml : 20030825
20030825095932
ACCESSION NUMBER: 0000049071-03-000084
CONFORMED SUBMISSION TYPE: 144
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20030825
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: 144
SEC ACT: 1933 Act
SEC FILE NUMBER: 001-05975
FILM NUMBER: 03863596
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:
COMPANY DATA:
COMPANY CONFORMED NAME: LORD JONATHAN T MD
CENTRAL INDEX KEY: 0001112980
RELATIONSHIP: OFFICER
FILING VALUES:
FORM TYPE: 144
BUSINESS ADDRESS:
STREET 1: 500 WEST MAIN ST.
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
BUSINESS PHONE: 5025801000
MAIL ADDRESS:
STREET 1: 500 WEST MAIN ST.
CITY: LOUISVILLE
STATE: KY
ZIP: 40202
144
1
fm144lord803.htm
HUMANA INC. - JONATHAN T. LORD
UNITED STATES
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144 |
OMB APPROVAL |
OMB Number 3235-0101 |
Expires: August 31, 2003 |
Estimated average burden
hours per response...2.0 |
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale
directly with a market maker |
SEC USE ONLY |
DOCUMENT SEQUENCE NO.
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CUSIP NUMBER
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WORK LOCATION
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1 (a) NAME OF ISSUER (Please type or print)
Humana Inc. |
(b) IRS IDENT. NO.
61-0647538 |
(c) S.E.C. FILE NO.
1-5975 |
1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE |
|
500 West Main Street, Louisville, KY 40202 |
(e) TELEPHONE |
AREA CODE
502 |
NUMBERS
580-1000 |
2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE
SECURITIES ARE TO BE SOLD
Jonathan T. Lord, M.D. |
(b) IRS IDENT.
NO.
N/A |
(c) RELATIONSHIP TO
ISSUER
Executive Officer
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(d) ADDRESS STREET CITY STATE ZIP CODE
500 W. Main Street
Louisville, KY 40202 |
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. identification Number and the S.E.C. File Number |
3 Title of the (a) Class of Securities To Be Sold |
(b) Name and Address of Each
Broker Through whom the
Securities Are To Be Offered
or Each Market Maker who
is Acquiring the Securities |
SEC USE ONLY |
(c) Number of Shares
or Other Units To Be
Sold
(See Instr. 3 (c)) |
(d) Aggregate
Market Value
(See Instr. 3(d) |
(e) Number of Shares
or Other Units
Outstanding
(See Instr. 3(e)) |
(f) Approximate Date
of Sale
(See Instr. 3(f)
MO. DAY YR.) |
(g) Name of Each
Securities
Exchange
(See instr. 3 (g)) |
Broker-Dealer
File Number |
Common
|
Morgan Keegan & Co.
Aegon Tower
400 W. Market Street, 20th Floor
Louisville, KY 40202 |
|
12,000 |
$204,720
(Based on FMV on 08/21/03 of $17.06) |
161,790,510
as of 07/31/03 |
August 25, 2003 |
NYSE |
INSTRUCTIONS:
1. (a) Name of Issuer
(b) Issuer's I.R.S. Identification Number
(c) Issuer's S.E.C. file number, if any
(d) Issuer's address, including zip code
(e) Issuer's telephone number, including area code |
3. (a) Title of the class of securities to be sold
(b) Name and Address of each broker through whom the securities are intended to be sold
(c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
(f) Approximate date on which the securities are to be sold
(g) Name of each securities exchange, if any, on which the securities are intended to be sold |
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2. (a) Name of person for whose account the securities are to be sold
(b) Such person's I.R.S. identification number, if such person is an entity
(c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing
(d) Such persons's address, including zip code |
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Form 144 |
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Page 1 of 2 |
TABLE - SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor. |
Title of the Class |
Date you Acquired |
Nature of Acquisition Transaction |
Name of the Person from Whom Acquired (if gift, also give date donor acquired |
Amount of Securities Acquired |
Date of Payment |
Nature of Payment |
Common |
08/07/03 |
Restricted Stock Award |
Issuer |
12,000 |
N/A |
N/A |
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INSTRUCTIONS:
1. If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
2. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto.
_____________________________________________________________________________________________________________________________________________________________________________ |
TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS (1)
Furnish the following information as to all securities of the issuer sold
During the past 3 months by the person for whose account the securities are to be sold. |
Name and Address of Seller |
Title of Securities Sold |
Date of Sale |
Amount of Securities Sold |
Gross Proceeds |
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None |
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INSTRUCTIONS: |
ATTENTION: |
See the definition of "person" in paragraph (a) 9 of Rule 144.
Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
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The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the issuer of the securities to be sold which has not been publicly disclosed. |
August 25, 2003 /s/ Jonathan T. Lord
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DATE OF NOTICE |
(SIGNATURE)
JONATHAN T. LORD, M.D. |
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This notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
ATTENTION:
Intentional misstatements or omission of facts constitute
Federal Criminal Violations (See 18 U.S.C. 1001) |
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