-----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, OcY6LeQNHd0PH+mONR/5k000YnkEmcA96FhuviPTISnA7PDjojqnAA0DgGVTnjB2 vCapFhazQJDGH68dVSQZUw== 0000049071-03-000135.txt : 20031224 0000049071-03-000135.hdr.sgml : 20031224 20031224123058 ACCESSION NUMBER: 0000049071-03-000135 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031222 FILED AS OF DATE: 20031224 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: HIPWELL ARTHUR P CENTRAL INDEX KEY: 0001018656 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 031073344 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 42003-12-22 0000049071 HUMANA INC HUM 0001018656 HIPWELL ARTHUR P HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0100Sr VP & General CounselHumana Common2003-12-224G08510D98539DHumana Common2003-12-224G03000A300ISee FootnoteHumana Common17350ISee FootnoteOptions17.93752004-01-13Humana Common7500075000DOptions16.93752004-07-20Humana Common2500025000D Options15.5938Humana Common127264127264DOptions15.59382008-01-15Humana Common43164316DOptions9.59382009-09-09Humana Common5000050000DOptions12.9952012-03-13Humana Common4500045000DOptions9.262013-03-13Humana Common5000050000D< value>Phantom Stock UnitsHumana Common76017601ISee 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 on behalf of minor children.Shares held for the benefit of reporting person as of November 30, 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 1989 Stock Option Plan for Employees.Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees.Non-Qualified stock options granted to reporting person on 1/13/94 and fully vested on 9/1/99.Non-Qualified stock options granted to reporting person on 7 /20/94 and fully vested on 9/1/99.Non-Qualified stock options granted to reporting person on 9/17/98, fully vested on 9/1/99 with 68,800 options expiring on 1/12/05, 36,680 options expiring on 1/9/2007 and 21,784 options expiring on 1/15/2008.Incentive stock options granted to reporting person on 9/17/98 and fully vested on 9/1/99.Incentive and Non-Qualified stock options granted to reporting person on 9/9/99 and fully vested on 9/9/02.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 and Non-Qualified stock options granted to reporting person on 3/13/03, NQ options vesting in three increments from 3/13/04 to 3/13/06, and ISO's vesting on 3/13/06.Phantom Stock Units held for the benefit of reporting person as of November 30, 2003, conve rtible into common stock on a 1-for-1 basis, under the Humana Excess Plan, exempt under Rule 16b-3(d).Arthur P. Hipwell2003-12-22 -----END PRIVACY-ENHANCED MESSAGE-----