-----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, UU40jc2b49fgd0URxA4c1eWSQ3AS/sxzS1DeC8XbariAP1Sr2e2ceFtIdPwynocH sld5u3iYOdL7xdgAAqtDLg== 0000049071-04-000063.txt : 20040827 0000049071-04-000063.hdr.sgml : 20040827 20040827173218 ACCESSION NUMBER: 0000049071-04-000063 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040826 FILED AS OF DATE: 20040827 DATE AS OF CHANGE: 20040827 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McCulley Steven E CENTRAL INDEX KEY: 0001301372 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 041003382 BUSINESS ADDRESS: BUSINESS PHONE: 502-580-1000 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 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 MAIL ADDRESS: STREET 1: 500 W. MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 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 3 1 edgar.xml PRIMARY DOCUMENT X0202 3 2004-08-26 0 0000049071 HUMANA INC HUM 0001301372 McCulley Steven E HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Vice President & Controller Humana Common 0 D Humana Common 402 I See Footnote Options 15.5938 Humana Common 9165 D Options 19.25 2002-01-15 2009-01-15 Humana Common 6000 D Options 12.995 Humana Common 10000 D Options 9.26 Humana Common 20000 D Options 21.275 Humana Common 15000 D Phantom Stock Units Humana Common 7 I See Footnote 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. Stock units held for the benefit of reporting person as of August 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 9/17/98, all fully vested with 2,064 expiring on 1/12/05, 2,751 expiring on 1/9/07 and 4,350 expiring on 1/15/08. Right to buy pursuant to the Company's 2003 Stock Incentive Plan. Non-qualified stock options granted to reporting person on 3/13/02, vesting in three increments from 3/13/03 to 3/13/05. Non-qualified stock options granted to reporting person on 3/13/03, vesting in three increments from 3/13/04 to 3/13/06. Non-qualified stock options granted to reporting person on 2/24/04, vesting in three increments from 2/24/05 to 2/24/07. Phantom Stock Units held for the benefit of reporting person as of August 24, 2004, based on the value of Humana common stock on a 1-for-1 basis, under the Humana Excess Plan exempt under Rule 16b-3(c and d). Steven E. McCulley 2004-08-26 -----END PRIVACY-ENHANCED MESSAGE-----