-----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, SuHWT41vXn3WQrUEXe82oeaaaa4ofvhNxa726HPWrdrqLIelAx1zcQ51EoX34JVV YEqJ563ZrUkmvM4b62Sq4w== 0000049071-04-000026.txt : 20040226 0000049071-04-000026.hdr.sgml : 20040226 20040226162013 ACCESSION NUMBER: 0000049071-04-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040224 FILED AS OF DATE: 20040226 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: BERTKO JOHN M CENTRAL INDEX KEY: 0001109306 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 04631005 BUSINESS ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 WEST MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 WEST MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 edgar.xml PRIMARY DOCUMENT X0201 4 2004-02-24 0000049071 HUMANA INC HUM 0001109306 BERTKO JOHN M HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Vice President & Chief Actuary Humana Common 37126 D Humana Common 1420 I See Footnote Options 7.4688 2009-11-18 Humana Common 50000 50000 D Options-ISO 12.995 2012-03-13 Humana Common 10000 10000 D Options 9.26 2013-03-13 Humana Common 20000 20000 D Options 21.275 2004-02-24 4 A 0 15000 21.275 A 2014-02-24 Humana Common 15000 15000 D Each 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 January 24, 2004 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 1996 Stock Incentive Plan for Employees. Non-qualified stock options granted to reporting person on 11/18/99 vesting in four increments from 11/18/01 to 11/18/04. Incentive stock options granted to reporting person on 3/13/02 vesting in three increments 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 two increments on 3/13/04 and 3/13/05, and ISO's to vest in three increments from 3/13/04 to 3/13/06. Right to buy pursuant to the Company's 2003 Stock Incentive Plan. Incentive and Non-qualified stock options granted to reporting person on 2/24/04, NQ options vesting in three increments from 2/24/05 to 2/24/07, and ISO's vesting in two increments on 2/24/06 and 2/24/07. John M. Bertko 2004-02-24 -----END PRIVACY-ENHANCED MESSAGE-----