-----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, TLHm+cwmQh9NXdAjNBnpR52B1ujQ89naDI36gJPe3XYPt6f6YxOMio9Hrp2Jo8td zF/MUiJlfVMXMepkag7/0g== 0000049071-00-000009.txt : 20000202 0000049071-00-000009.hdr.sgml : 20000202 ACCESSION NUMBER: 0000049071-00-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000118 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: 508870 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: ROTHERHAM GREGORY K CENTRAL INDEX KEY: 0001030269 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER IRS NUMBER: 399601625 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 - DECEMBER 31, 1999 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 Rotherham, Gregory K. 1100 Employers Boulevard Green Bay, WI 54344 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 December 31, 1999 5. If Amendment, Date of Original (Month/Year) (5) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice President-Business Development (Small Group Division) 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) |12/3/9|P |V|1,500 |A |$7.00 |24,000 |D(5) | | |9 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common (1) | | | | | | |10,421.9 |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) |15.5938 | | | | | |9/17/|11/16|Common (1) |3,750 | |3,750 |D | | | | | | | | |99 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |15.5938 | | | | | |11/16|11/16|Common (1) |3,750 | |3,750 |D | | | | | | | | |/99 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (3) |15.5938 | | | | | |11/16|11/16|Common (1) |3,750 | |3,750 |D | | | | | | | | |/00 |/05 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |9/17/|8/12/|Common (1) |52,740 | |52,740 |D | | | | | | | | |99 |06 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |9/17/|1/9/0|Common (1) |30,720 | |30,720 |D | | | | | | | | |99 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |1/9/0|1/9/0|Common (1) |15,130 | |15,130 |D | | | | | | | | |0 |7 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |9/17/|1/15/|Common (1) |5,800 | |5,800 |D | | | | | | | | |99 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |1/15/|1/15/|Common (1) |5,800 | |5,800 |D | | | | | | | | |00 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |15.5938 | | | | | |1/15/|1/15/|Common (1) |5,800 | |5,800 |D | | | | | | | | |01 |08 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |19.25 | | | | | |1/15/|1/15/|Common (1) |13,334 | |13,334 |D | | | | | | | | |00 |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |19.25 | | | | | |1/15/|1/15/|Common (1) |13,333 | |13,333 |D | | | | | | | | |01 |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option (4) |19.25 | | | | | |1/15/|1/15/|Common (1) |13,333 | |13,333 |D | | | | | | | | |02 |09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (4) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |3,334 | |3,334 |D | | | | | | | | |0 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-ISO (4) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |3,333 | |3,333 |D | | | | | | | | |1 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option-NQ (4) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |3,333 | |3,333 |D | | | | | | | | |2 |9 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
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 amended as of May 27, 1998 and March 1, 1999, 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 December 31, 1999 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 for Employees. (5) This Form 4 amends my September and November 1999 Form 4's. The September Form 4 should have reported a purchase on Sept. 28 which was actually reported in the November Form 4. The November purchase should be removed but the ending balance should remain the same. -----END PRIVACY-ENHANCED MESSAGE-----