-----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, O5GkCv4CTePUuV06kNABN55quL4HL9kMgK32DOOs1+4kv9OIWim6WypfuYzkzVPs cmQdSiPP0XBWZxUUFEZsdw== 0000049071-98-000058.txt : 19980911 0000049071-98-000058.hdr.sgml : 19980911 ACCESSION NUMBER: 0000049071-98-000058 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980831 FILED AS OF DATE: 19980910 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: 98707043 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 COMPANY DATA: COMPANY CONFORMED NAME: VIETH GEORGE W JR CENTRAL INDEX KEY: 0001030270 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER IRS NUMBER: 483667889 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 WEST MAIN STREET CITY: LOUISVILLE STATE: KY ZIP: 40202 4 1 FORM 4 - AUGUST 31, 1998 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 Vieth, Jr., George W. 500 West Main Street Louisville,, KY 40202 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 August 31, 1998 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice President-Strategy and Systems Development 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) | | | | | | |7,000 |D |(6) | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) |8/14/9|P |V|1,000 |A |$15.1875 |1,400 |I | Cust. for Child | |8 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) |8/14/9|P |V|500 |A |$15.1875 |500 |I | Cust. for Child | |8 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) |8/14/9|P |V|500 |A |$15.1875 |1,000 |I |Cust. for Child | |8 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) | | | | | | |300 |I |IRA | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) | | | | | | |100 |I |Wife-IRA | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) | | | | | | |4,462.6 |I |HRSP (2) | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 (3) |6.5625 | | | | | |4/14/|4/14/|Common (1) |15,000 | |15,000 |D | | | | | | | | |95 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |6.5625 | | | | | |4/14/|4/14/|Common (1) |15,000 | |15,000 |D | | | | | | | | |96 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |6.5625 | | | | | |4/14/|4/14/|Common (1) |15,000 | |15,000 |D | | | | | | | | |97 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |6.5625 | | | | | |4/14/|4/14/|Common (1) |15,000 | |15,000 |D | | | | | | | | |98 |03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |23.0625 | | | | | |1/12/|1/12/|Common (1) |6,667 | |6,667 |D | | | | | | | | |96 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |23.0625 | | | | | |1/12/|1/12/|Common (1) |6,667 | |6,667 |D | | | | | | | | |97 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |23.0625 | | | | | |1/12/|1/12/|Common (1) |6,666 | |6,666 |D | | | | | | | | |98 |05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |26.3125 | | | | | |1/11/|1/11/|Common (1) |3,334 | |3,334 |D | | | | | | | | |97 |06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |26.3125 | | | | | |1/11/|1/11/|Common (1) |3,334 | |3,334 |D | | | | | | | | |98 |06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |26.3125 | | | | | |1/11/|1/11/|Common (1) |3,333 | |3,333 |D | | | | | | | | |99 |06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |18.8125 | | | | | |1/9/9|1/9/0|Common (1) |23,334 | |23,334 |D | | | | | | | | |8 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |18.8125 | | | | | |1/9/9|1/9/0|Common (1) |23,333 | |23,333 |D | | | | | | | | |9 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |18.8125 | | | | | |1/9/0|1/9/0|Common (1) |23,333 | |23,333 |D | | | | | | | | |0 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (4) |20.1563 | | | | | |1/15/|1/15/|Common (1) |4,961 | |4,961 |D | | | | | | | | |99 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (4) |20.1563 | | | | | |1/15/|1/15/|Common (1) |4,961 | |4,961 |D | | | | | | | | |00 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (4) |20.1563 | | | | | |1/15/|1/15/|Common (1) |4,961 | |4,961 |D | | | | | | | | |01 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (4) |20.1563 | | | | | |1/15/|1/15/|Common (1) |8,373 | |8,373 |D | | | | | | | | |99 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (4) |20.1563 | | | | | |1/15/|1/15/|Common (1) |8,372 | |8,372 |D | | | | | | | | |00 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (4) |20.1563 | | | | | |1/15/|1/15/|Common (1) |8,372 | |8,372 |D | | | | | | | | |01 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Phantom Stock Units (5|1-for-1 | | | | | |(5) |(5) |Common (1) |1,031.4| |1,031.4 |D | | ) | | | | | | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Each share of Common Stock contains a Right adopted on March 5, 1987, as amended and restated on February 14, 1996 and May 27, 1998, pursuant to the Company Rights Agreement, which entitles holders of the Company's Common Stock, in the event certain specified events occur, to acquire 1/100th of a share of Series A Participating Preferred Stock at a price of $145 per fractional share. (2) Shares held for my benefit as of June 30, 1998, under the Humana Retirement & Savings Plan ("HRSP") exempt under Rule 16b-3(c). (3) Right to buy pursuant to the Company's 1989 Stock Option Plan for Employees. (4) Right to buy pursuant to the Company's 1996 Stock Incentive Plan. (5) Phantom Stock Units held for my benefit as of June 30, 1998, under the Humana Excess Plans exempt under Rule 16b-3(d). (6) Original Form 3 filed on January 9, 1997 reflected 5,200 shares owned directly. The Form 3 was amended in September 1997 and inadvertently reported 5,000 owned directly. In August 1997, 800 shares were purchased and reported on Form 4 filed September 5, 1997 (incorrectly showing direct ownership at 5,800). In September 1997, 1,000 shares were purchased and reported on Form 4 filed on October 3, 1997 (incorrectly reporting total direct ownership of 6,800). This footnote corrects total direct holding to 7,000 shares. -----END PRIVACY-ENHANCED MESSAGE-----