-----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, TajwNBtFGgCA4afELVtIAe9Afw1fRWjadrrVxNJ5YBvda8t2H8gmirg1zK8TrKGM ydsKmumfJ0Kx0z/3IfZwvw== 0000049071-06-000100.txt : 20060914 0000049071-06-000100.hdr.sgml : 20060914 20060914141009 ACCESSION NUMBER: 0000049071-06-000100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060912 FILED AS OF DATE: 20060914 DATE AS OF CHANGE: 20060914 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 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: 061090313 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 X0202 4 2006-09-12 0000049071 HUMANA INC HUM 0001025393 JONES DAVID A JR/KY CHRYSALIS VENTURES, INC. 101 S. FIFTH STREET, SUITE 1650 LOUISVILLE KY 40202 1 0 0 0 Humana Common 2006-09-12 4 M 0 85000 19.3125 A 340898 D Humana Common 2006-09-12 4 M 0 5000 18.9375 A 345898 D Humana Common 2006-09-12 4 F 0 27993 62.025 D 317905 D Humana Common 72 I See Footnote Humana Common 1300 I See Footnote Humana Common 1300 I See Footnote Humana Common 300 I See Footnote Options 19.3125 2006-09-12 4 M 0 85000 19.3125 D 1999-11-14 2006-11-14 Humana Common 85000 0 D Options 18.9375 2006-09-12 4 M 0 5000 18.9375 D 1998-01-02 2007-01-02 Humana Common 5000 0 D Options 21.9375 2000-03-25 2007-03-25 Humana Common 40000 40000 D Options 21.25 1999-01-02 2008-01-02 Humana Common 5000 5000 D Options 20.1563 2001-01-15 2008-01-15 Humana Common 40000 40000 D Options 18.7813 2000-01-04 2009-01-04 Humana Common 5000 5000 D Options 19.25 2002-01-15 2009-01-15 Humana Common 40000 40000 D Options 7.875 2001-01-03 2010-01-03 Humana Common 5000 5000 D Options 14.7813 2002-01-02 2011-01-02 Humana Common 5000 5000 D Options 11.55 2003-01-02 2012-01-02 Humana Common 5000 5000 D Options 10.19 2004-01-02 2013-01-02 Humana Common 5000 5000 D Options 23.05 2005-01-02 2014-01-02 Humana Common 2500 2500 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. Total number of shares reduced by one (1) share since filing of 1/3/06 Form 4 due to error in computing shares directly held by reporting person. Reporting person indirectly owns 72 shares 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. 2006-09-13 -----END PRIVACY-ENHANCED MESSAGE-----