-----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, GXzaP9+XNfaIC0wn6f9MidS0AZKBj9ar9CoKtM58qB0UXEtGzZjmESL1W6hLVhXq pHwcUyO+EuQsQUAWG72HHg== 0001018657-96-000002.txt : 19960813 0001018657-96-000002.hdr.sgml : 19960813 ACCESSION NUMBER: 0001018657-96-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960812 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: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 96608952 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: MCCALLISTER MICHAEL B CENTRAL INDEX KEY: 0001018657 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER 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 - JULY 1996 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 4 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check 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 McCallister, Michael B. 500 W. Main St 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 July 1996 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Division I President
___________________________________________________________________________________________________________________________________ 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 Year |ect(I)| | ___________________________________________________________________________________________________________________________________| Common (1) | | | | | | |0 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) | | | | | | |17,120.4 |I |Ret&SavPlan | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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 | | | |Year |(I)| | ___________________________________________________________________________________________________________________________________| Common(2) |5.7980 | | | | | |09/01|09/01|Common |999 | |999 |D | | | | | | | | |/91 |/98 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.8694 | | | | | |03/02|03/02|Common |5,000 | |5,000 |D | | | | | | | | |/92 |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |11.0131 | | | | | |09/13|09/13|Common |2,000 | |2,000 |D | | | | | | | | |/91 |/00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |11.0131 | | | | | |09/13|09/13|Common |2,000 | |2,000 |D | | | | | | | | |/92 |/00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |11.0131 | | | | | |09/13|09/13|Common |2,000 | |2,000 |D | | | | | | | | |/93 |/00 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |8.9098 | | | | | |11/18|11/18|Common |1,000 | |1,000 |D | | | | | | | | |/92 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |8.9098 | | | | | |11/18|11/18|Common |1,000 | |1,000 |D | | | | | | | | |/93 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |8.9098 | | | | | |11/18|11/18|Common |1,000 | |1,000 |D | | | | | | | | |/94 |/01 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.5625 | | | | | |04/14|04/14|Common |31,250 | |31,250 |D | | | | | | | | |/95 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.5625 | | | | | |04/14|04/14|Common |31,250 | |31,250 |D | | | | | | | | |/96 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.5625 | | | | | |04/14|04/14|Common |31,250 | |31,250 |D | | | | | | | | |/97 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |6.5625 | | | | | |04/14|04/14|Common |31,250 | |31,250 |D | | | | | | | | |/98 |/03 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |23.0625 | | | | | |01/12|01/12|Common |14,167 | |14,167 |D | | | | | | | | |/96 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |23.0625 | | | | | |01/12|01/12|Common |14,167 | |14,167 |D | | | | | | | | |/97 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(3) |23.0625 | | | | | |01/12|01/12|Common |14,166 | |14,166 |D | | | | | | | | |/98 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(5) |15.625 |07/11|J(5)| |45,000 |A |07/11|07/11|Common |45,000 | |45,000 |D | | | |/96 | | | | |/97 |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(5) |15.625 |07/11|J(5)| |45,000 |A |07/11|07/11|Common |45,000 | |45,000 |D | | | |/96 | | | | |/98 |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common(5) |15.625 |07/11|J(5)| |45,000 |A |07/11|07/11|Common |45,000 | |45,000 |D | | | |/96 | | | | |/99 |/06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
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, pursuant ot the Company's 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) Right to buy pursuant to the Company's 1981 Non-Qualified Stock Option Plan; the Plan contains the right to satisfy the tax withholding obligations with Company stock and also contains Limited Rights provisions in the event of a Change in Control of the Company (3) Right to buy pursuant to the Company's 1989 Stock Option Plan for Employees; the Plan contains the right to satisfy the tax withholding obligations with Company stock and also contains LImited Rights provisions in the event of a Change in Control of the Company. (4) Shares held for my benefit in the Humana Retirement and Savings Plan based on Plan information as of June 30,1996 exempt under old Rule 16a-8(b). (5) Grant of option pursuant to the Company's 1996 Stock Incentive Plan for Employees; the Plan contains the right to satisfy the tax withholding obligations with Company stock and also contains Limtied Rights provisions in the event of a Change in Control of the Company. -----END PRIVACY-ENHANCED MESSAGE-----