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
Liston, Thomas J.
Humana Inc.
500 W. Main Street
Louisville, KY 40202
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
February 28, 2002
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)
Senior Vice President - Strategy & Corporate 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
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Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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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)| |
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Common (1) |2/14/0|F |V|2,145 |D |$13.27 |53,855 |D | |
|2 | | | | | | | | |
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Common (1) | | | | | | |880 |D |Custodian for Child |
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| | | | | | |880 |D |Custodian for Child |
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| | | | | | |720 |D |Custodian for Child |
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| | | | | | |12,472 |I |HRSP (3) |
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Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned |
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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)| |
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Option (2) |15.5938 | | | | | |9/17/|1/15/|Common (1) |5,800 | |5,800 |D | |
| | | | | | |99 |08 | | | | | | |
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Option (2) |15.5938 | | | | | |1/15/|1/15/|Common (1) |5,800 | |5,800 |D | |
| | | | | | |00 |08 | | | | | | |
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Option (2) |15.5938 | | | | | |1/15/|1/15/|Common (1) |5,800 | |5,800 |D | |
| | | | | | |01 |08 | | | | | | |
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Option (2) |15.5938 | | | | | |9/17/|1/9/0|Common (1) |24,576 | |24,576 |D | |
| | | | | | |99 |7 | | | | | | |
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Option (2) |15.5938 | | | | | |1/9/0|1/9/0|Common (1) |12,104 | |12,104 |D | |
| | | | | | |0 |7 | | | | | | |
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Option (2) |15.5938 | | | | | |9/17/|8/12/|Common (1) |26,370 | |26,370 |D | |
| | | | | | |99 |06 | | | | | | |
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Option (2) |15.5938 | | | | | |9/17/|9/17/|Common (1) |6,090 | |6,090 |D | |
| | | | | | |99 |08 | | | | | | |
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Option (2) |15.5938 | | | | | |9/17/|1/12/|Common (1) |13,760 | |13,760 |D | |
| | | | | | |99 |05 | | | | | | |
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Option (2) |19.25 | | | | | |1/15/|1/1/5|Common (1) |6,667 | |6,667 |D | |
| | | | | | |00 |09 | | | | | | |
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Option (2) |19.25 | | | | | |1/15/|1/15/|Common (1) |6,667 | |6,667 |D | |
| | | | | | |01 |09 | | | | | | |
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Option (2) |19.25 | | | | | |1/15/|1/15/|Common (1) |6,666 | |6,666 |D | |
| | | | | | |02 |09 | | | | | | |
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Option (2) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |3,334 | |3,334 |D | |
| | | | | | |0 |9 | | | | | | |
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Option (2) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |3,333 | |3,333 |D | |
| | | | | | |1 |9 | | | | | | |
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Option (2) |9.5938 | | | | | |9/9/0|9/9/0|Common (1) |3,333 | |3,333 |D | |
| | | | | | |2 |9 | | | | | | |
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Option-ISO (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |14,096 | |14,096 |D | |
| | | | | | |01 |10 | | | | | | |
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Option-ISO (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |14,096 | |14,096 |D | |
| | | | | | |02 |10 | | | | | | |
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Option-ISO (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |14,096 | |14,096 |D | |
| | | | | | |03 |10 | | | | | | |
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Option-NQ (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |2,571 | |2,571 |D | |
| | | | | | |01 |10 | | | | | | |
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Option-NQ (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |2,571 | |2,571 |D | |
| | | | | | |02 |10 | | | | | | |
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Option-NQ (2) |7.0938 | | | | | |7/13/|7/13/|Common (1) |2,570 | |2,570 |D | |
| | | | | | |03 |10 | | | | | | |
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Phantom Stock Units (4|1-for-1 | | | | | |(4) |(4) |Common (1) |2,549.7| |2,549.7 |D | |
) | | | | | | | | | | | | | | |
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Explanation of Responses:
(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) Right to buy pursuant to Company's 1996 Stock Incentive Plan for
Employees.
(3) Shares held for my benefit as of June 30, 2000 under the Humana Retirement
& Savings Plan ("HRSP") and a
routine disposition of shares to fund an administrative fee assessment under a
Tax-Conditioned Plan, exempt
under Rule
16b-3(c).
(4) Phantom stock units held for my benefit as of December 31, 2001 under the
Humana Excess Plans, exempt
under Rule
16b-3(d).