-----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, GoxUT2jVJqmWKscfl+1dQ2A9McBXpY7GgcIwnGG6cCHMEbbmi73oFTPhN9Cvb+2y xiAs2hL8cUSTJV1M1QKIOQ== 0000049071-03-000137.txt : 20031230 0000049071-03-000137.hdr.sgml : 20031230 20031230161420 ACCESSION NUMBER: 0000049071-03-000137 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031229 FILED AS OF DATE: 20031230 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: BLOEM JAMES H CENTRAL INDEX KEY: 0001133713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 031077994 BUSINESS ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-12-29 0000049071 HUMANA INC HUM 0001133713 BLOEM JAMES H HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0100Sr. VP, CFO & TreasurerHumana Common2003-12-294M03333412.20A108334DHumana Common2003-12-294M0166679.70A125001DHumana Common2003-12-294M01000012.995A135001DHumana Common2003-12 - -294S04360923.10A91392DHumana Common1060ISee FootnoteOptions12.202003-12-294M03333412.20D2011-02-01Humana Common5000016666DOptions9.702003-12-294M0166679.70D2011-07-12Humana Common250008333DOptions12.9952003-12-294 M01000012.995D2012-03-13Humana Common2500015000DOptions9.262012-03-13Humana Common7500075000DEach 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 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).Stock options were granted to reporting person on 2/1/01 to vest as follows: 25,412 non-qualified stock options to vest in thirds on 2/1/02, 2/1/03 and 2/1/04, respectively, and 24,588 incentive stock options to vest in thirds on 2/1/02, 2/1/03 and 2/1/04, respectively.Non-qualified stock options were granted to reporting person on 7/12/01 vesting in thirds from 7/12/02 to 7/12/04.Stock options were granted to rep orting person on 3/13/02 to vest as follows: 22,305 non-qualified stock options to vest in three increments - 10,000 on 3/13/03, 10,000 on 3/13/04 and 2,305 on 3/13/05, and 7,695 incentive stock options to vest in full on 3/13/05.Stock options were granted to reporting person on 3/13/03 to vest as follows: 59,201 non-qualified stock options to vest in three increments - 23,334 on 3/13/04, 23,333 on 3/13/05 and 12,534 on 3/13/06, respectively, and 10,799 incentive stock options to vest in full on 3/13/06.Right to buy pursuant to the Company's 1996 Stock Incentive Plan for Employees.James H. Bloem2003-12-29 -----END PRIVACY-ENHANCED MESSAGE-----