-----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, Ca3TEHn6Ato6BTL02TmfhUY6mwELYj7UnwG230uqJSYrz7dyQ2W18rjwE+Kykw5W Rhmzj5Ka4mEvvAFwAECM7A== 0000049071-04-000093.txt : 20041220 0000049071-04-000093.hdr.sgml : 20041220 20041220111249 ACCESSION NUMBER: 0000049071-04-000093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041217 FILED AS OF DATE: 20041220 DATE AS OF CHANGE: 20041220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARGULIS HEIDI S CENTRAL INDEX KEY: 0001103605 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 041213094 BUSINESS ADDRESS: BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: C/O HUMANA INC STREET 2: 500 W. MAIN ST 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 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2004-12-17 0000049071 HUMANA INC HUM 0001103605 MARGULIS HEIDI S HUMANA INC. 500 WEST MAIN STREET LOUISVILLE KY 40202 0 1 0 0 Senior V.P.-Gov. Relations Humana Common 2004-12-17 4 M 0 10320 15.5938 A 30795 D Humana Common 2004-12-17 4 F 0 1622 15.5938 D 29173 D Humana Common 2004-12-17 4 S 0 8400 29.00 D 20773 D Humana Common 2004-12-17 4 S 0 100 29.20 D 20673 D Humana Common 6471 I See Footnote Options 15.5938 2004-12-17 4 M 0 10320 15.5938 D 1999-09-17 2005-01-12 Humana Common 10320 0 D Options 15.5938 2000-01-09 2007-01-09 Humana Common 9170 9170 D Options 15.5938 2001-01-15 2008-01-15 Humana Common 8700 8700 D Options 15.5938 1999-09-17 2008-09-17 Humana Common 6090 6090 D Options 19.25 2002-01-15 2009-01-15 Humana Common 10000 10000 D Options 9.5938 2002-09-09 2009-09-09 Humana Common 15000 15000 D Options 9.26 2013-03-13 Humana Common 10000 10000 D Options 21.275 2014-02-24 Humana Common 15000 15000 D Phantom Stock Units Humana Common 351 351 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. Shares held for reporting person's benefit as of November 30, 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 Humana Inc.'s 1996 Stock Incentive Plan for Employees. Stock Options granted to reporting person on 3/13/03 vesting in thirds from 3/13/04 to 3/13/06. Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan. Non-Qualified and Incentive 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 November 30, 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). Heidi S. Margulis 2004-12-17 -----END PRIVACY-ENHANCED MESSAGE-----