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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options (6) | $ 21.25 | 01/02/1999 | 01/02/2008 | Humana Common (1) | 5,000 | 5,000 | D | ||||||||
Options (7) | $ 20.1563 | 01/15/2001 | 01/15/2008 | Humana Common (1) | 40,000 | 40,000 | D | ||||||||
Options (6) | $ 18.7813 | 01/04/2000 | 01/04/2009 | Humana Common (1) | 5,000 | 5,000 | D | ||||||||
Options (6) | $ 19.25 | 01/15/2002 | 01/15/2009 | Humana Common (1) | 40,000 | 40,000 | D | ||||||||
Options (6) | $ 7.875 | 01/03/2001 | 01/03/2010 | Humana Common (1) | 5,000 | 5,000 | D | ||||||||
Options (7) | $ 14.7813 | 01/02/2002 | 01/02/2011 | Humana Common (1) | 5,000 | 5,000 | D | ||||||||
Options (7) | $ 11.55 | 01/02/2003 | 01/02/2012 | Humana Common (1) | 5,000 | 5,000 | D | ||||||||
Options (7) | $ 10.19 | 01/02/2004 | 01/02/2013 | Humana Common (1) | 5,000 | 5,000 | D | ||||||||
Options (8) | $ 23.05 | 01/02/2005 | 01/02/2014 | Humana Common (1) | 2,500 | 2,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JONES DAVID A JR/KY CHRYSALIS VENTURES, INC. 101 S. FIFTH STREET, SUITE 1650 LOUISVILLE, KY 40202 |
X |
David A. Jones, Jr. | 11/16/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 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. |
(2) | Reporting person indirectly owns 72 shares held by spouse. |
(3) | Reporting person indirectly owns 1,300 shares held by spouse as custodian for son. |
(4) | Reporting person indirectly owns 1,300 shares held by spouse as custodian for daughter. |
(5) | Reporting person indirectly owns 300 shares held in an Individual Retirement Account. |
(6) | Right to buy pursuant to Humana Inc.'s 1989 Stock Option Plan for Non-Employee Directors. |
(7) | Right to buy pursuant to Humana Inc.'s 1996 Incentive Stock Option Plan. |
(8) | Right to buy pursuant to Humana Inc.'s 2003 Stock Incentive Plan. |