-----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, MOCYSYO+B+XpfedzrVl6lAbsNsj3oFfz2Wd48u4bdoRF9Pc9dwg3ccXDajR2E5UO eaYpGfV2IbL+smF1JXnNyg== 0000049071-04-000008.txt : 20040106 0000049071-04-000008.hdr.sgml : 20040106 20040106130045 ACCESSION NUMBER: 0000049071-04-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040102 FILED AS OF DATE: 20040106 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: JONES DAVID A JR/KY CENTRAL INDEX KEY: 0001025393 STATE OF INCORPORATION: KY FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 04508945 BUSINESS ADDRESS: STREET 1: 500 WEST MAIN STREET STREET 2: C/O HUMANA INC CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025837644 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0201 42004-01-02 0000049071 HUMANA INC HUM 0001025393 JONES DAVID A JR/KY CHRYSALIS VENTURES, INC. 101 S. FIFTH STREET, SUITE 1650 LOUISVILLE KY 40202 1000Humana Common2004-01-024A0380223.05A245378D Humana Common72ISee FootnoteHumana Common1300ISee FootnoteHu mana Common1300ISee FootnoteHumana Common300ISee FootnoteOptions22.43751996-01-032005-01-03Humana Common50005000DOptions26.93751997-01-022006-01-02Humana Commo n50005000DOptions19.31251999-11-142006-11-14Humana Common8500085000< /value>DOptions18.93751998-01-022007-01-02Humana Common50005000D< /derivativeHolding>Options21.93752000-03-252007-03-25Humana Common4000040000DOptions21.251999-01-02 2008-01-02Humana Common50005000DOptions20.15632001-01-152008-01-15Humana Common4000040000DOptions18.78132000-01-042009-01-04Humana Common50005000DOptions19.252002-01-152009-01-15Humana Common4000040000DOptions 7.8752001-01-032010-01-03Humana Common50005000DOptions14.78132002-01-022011-01-02Humana Common50005000DOptions11.552003-01-022012-01-02Humana Common50005000DOptions10.192004-01-022013-01-02Humana Common50005000DOptions23.052004-01-024A0250023.05A2005-01-022014-01-02Humana Common25002500DEach 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.Award of stock pursuant to Humana Inc's 2003 Stock Incentive Plan in lieu of director fees exempt under 16(b)-3(d)(1).Reporting person indirectly owns 72 sha res held by spouse.Reporting person indirectly owns 1,300 shares held by spouse as custodian for son.Reporting person indirectly owns 1,300 shares held by spouse as custodian for daughter.Reporting person indirectly owns 300 shares held in an Individual Retirement Account.Right to buy pursuant 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.Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan.David A. Jones, Jr.2004-01-02 -----END PRIVACY-ENHANCED MESSAGE-----