-----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, Npso0VTsZaG2R7jhQACzdh4Wt/ZMs8czmXcZg/SUbiBN4qOWayDtm5qav8XMtsCs M8DpVkxJBQIabw2vYiIO+g== 0000049071-98-000028.txt : 19980211 0000049071-98-000028.hdr.sgml : 19980211 ACCESSION NUMBER: 0000049071-98-000028 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970131 FILED AS OF DATE: 19980210 SROS: NYSE SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-05975 FILM NUMBER: 98529550 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025803708 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 COMPANY DATA: COMPANY CONFORMED NAME: AUSTEN K FRANK CENTRAL INDEX KEY: 0001018649 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025803778 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 FORM 4 - JANUARY 31, 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Austen, M.D., K. Frank Brigham and Women's Hospital - Smith Bldg. 1 Jimmy Fund Way Boston, MA 02115 USA 2. Issuer Name and Ticker or Trading Symbol Humana Inc. HUM 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year January 31, 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common (1) |1/2/98|A (3|V|1,000 |A | |3,500 |D | | | |) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Option(2) |10.5405 | | | | | |1/11/|1/1/0|Common (1) |2,800 | |2,800 |D | | | | | | | | |91 |0 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(2) |10.5405 | | | | | |1/11/|1/1/0|Common (1) |5,000 | |5,000 |D | | | | | | | | |92 |0 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(2) |10.5405 | | | | | |1/11/|1/1/0|Common (1) |5,000 | |5,000 |D | | | | | | | | |93 |0 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(2) |17.625 | | | | | |1/3/9|1/2/0|Common (1) |5,000 | |5,000 |D | | | | | | | | |5 |4 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(2) |22.4375 | | | | | |1/3/9|1/3/0|Common (1) |5,000 | |5,000 |D | | | | | | | | |6 |5 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(2) |26.9375 | | | | | |1/2/9|1/2/0|Common (1) |5,000 | |5,000 |D | | | | | | | | |7 |6 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(2) |18.9375 | | | | | |1/2/9|1/2/0|Common (1) |5,000 | |5,000 |D | | | | | | | | |8 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option(2) |21.25 |1/2/9|A |V| | |1/2/9|1/2/0|Common (1) |5,000 | |5,000 |D | | | |8 | | | | |9 |8 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Each share of Common Stock contains a Right adopted on March 5, 1987, pursuant to the Company's Rights Agreement, as amended and restated on February 14, 1996, 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. (2) Right to buy pursuant to the Company's 1989 Stock Option Plan for Non-Employee Directors. (3) Award of stock in lieu of director fees exempt under 16(b)-3(d)(1). -----END PRIVACY-ENHANCED MESSAGE-----