-----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, AH/bDZFvXgKWLFxjjWTxUhD/GpJ3ngGNniZfJUlE2su9eWzEDNv1FiKkhl60hzIf TmyygxT8Tb1FOVrMDnLCoQ== 0000049071-03-000085.txt : 20030827 0000049071-03-000085.hdr.sgml : 20030827 20030827104944 ACCESSION NUMBER: 0000049071-03-000085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030825 FILED AS OF DATE: 20030827 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: MARGULIS HEIDI S CENTRAL INDEX KEY: 0001103605 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 03867699 BUSINESS ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 W. MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 W. MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-08-25 0000049071 HUMANA INC HUM 0001103605 MARGULIS HEIDI S HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0100Senior V.P.-Gov. RelationsHumana Common6268ISee FootnoteHumana Common2003-08-254S040017.00D35075DHumana Common2003-08-254S0460016.97D30475DHumana Common2003-08-264S0100017.10D29475DHumana Common2003-08-264S0200017.09D27475DHumana Common2003-08-264S0100017.08D26475DHumana Common2003-08-264S0100017.13D25475DHumana Common2003-08-264S060017.16D24875DHumana Common2003-08-264S0380017.06D21075DHumana Common2003-08-264S060017.17D20475DOptions15.59382001-01-152008-01-15Humana Common87008700DOptions15.59382000-01-092007-01-09Humana Common91709170DOptions15.59381999-09-172008-09-17Humana Common60906090DOp tions15.59381999-09-172005-01-12Humana Common1032010320DOptions19.252002-01-152009-01-15Humana Common1000010000DOptions9.59382002-09-092009-09-09Humana Common1500015000DOptions9.262013-03-13Humana Common1000010000DPhantom Stock UnitsHumana Common357357ISee 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.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 Humana Inc.'s 1996 Stock Incentive Plan for Employees.Stock Options granted to reporting person on 3/13/03 vesting in thirds 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-for-1 basis, under the Humana Excess Plan exempt under Rule 16b-3(d).Heidi S. Margulis2003-08-26 -----END PRIVACY-ENHANCED MESSAGE-----