-----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, Q457thSuDhlG+ifkxdmedl14N0T+lSoxDuIOHVKu/EzKhDT3PZwYX4EqM4LHKjoY HSuOYa9WCWfgoOf9lKoPhA== 0000049071-03-000130.txt : 20031210 0000049071-03-000130.hdr.sgml : 20031210 20031210105804 ACCESSION NUMBER: 0000049071-03-000130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031103 FILED AS OF DATE: 20031210 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: GELLERT MICHAEL E CENTRAL INDEX KEY: 0001018650 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 031046296 BUSINESS ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025803778 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-11-03 0000049071 HUMANA INC HUM 0001018650 GELLERT MICHAEL E WINDCREST PARTNERS 122 EAST 42ND STREET, 34TH FLOOR NEW YORK NY 10168 1000Humana Common2003-12-094M0500017.625A137535DHumana Common2003-12-094G02250022.82D115035DHumana Common< footnoteId id="F1"/>2003-11-034S0200020.0054D0ISee FootnoteOptions17.6252003-12-094M0500017.625D1995-01-032004-01-02Humana Common50000DOptions22.43751996-01-032005-01-03Humana Common50005000DOptions< /securityTitle>26.93751997-01-022006-01-02Humana Common50005000DOptions18.93751998-01-022007-01-02Humana Common50005000DOptions21.251999-01-022008-01-02Humana Common5000< sharesOwnedFollowingTransaction>5000DOptions18.78132000-01-042009-01-04Humana Common50005000DOptions7.8752001-01-032010-01-03Humana Common50005000DOptions14.78132002-01-022011-01-02Humana Common50005000DOptions11.552003-01-022012-01-02Humana Common50005000DOptions10.192004-01-022013-01-02Humana Common50005000DEach 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.Sale of shares held in family Trusts of which reporting person is Trustee. Reporting person has sole voting and dispositive powers. Reporting person disclaims beneficial ownership of Company stock held by the trusts except to the extent of reporting person's pecuniary interest.Right to buy pursuan t to Humana Inc.'s 1989 Stock Option Plan for Non-Employee Directors.Right to buy pursuant to Humana Inc.'s 1996 Incentive Stock Option Plan.Michael E. Gellert2003-12-09 -----END PRIVACY-ENHANCED MESSAGE-----