|
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or
executing a sale directly with a market maker.
|
OMB APPROVAL
|
||||||||||||||
|
OMB Number: 3235-0101
Expires: February 28, 2014
Estimated average burden
hours per response. . . . . . . . . 1.00
|
|||||||||||||||
|
SEC USE ONLY
|
|||||||||||||||
|
DOCUMENT SEQUENCE NO.
|
|||||||||||||||
|
CUSIP NUMBER
|
|||||||||||||||
|
WORK LOCATION
|
|||||||||||||||
|
1 (a) NAME OF ISSUER (Please type or print)
Humana Inc.
|
(b) IRS IDENT. NO.
61-0647538
|
(c) S.E.C. FILE NO.
1-5975
|
|||||||||||||
|
1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE
500 West Main Street Louisville KY 40202
|
(e) TELEPHONE
|
||||||||||||||
|
AREA CODE
502
|
NUMBER
580-1000
|
||||||||||||||
|
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
David A. Jones, Jr.
|
(b) RELATIONSHIP TO
ISSUER
Director
|
(c) ADDRESS STREET CITY STATE ZIP CODE
500 W. Main Street Louisville KY 40202
|
|||||||||||||
|
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. identification Number and the S.E.C. File Number
|
|||||||||||||||
|
3 (a)
Title of the Class of Securities
To Be Sold
|
(b)
Name and Address of Each Broker Through Whom the Securities Are To Be Offered or Each Market Maker who is Acquiring the Securities
|
SEC USE ONLY
|
(c)
Number of Shares
or Other Units
To Be Sold
(See Instr. 3 (c))
|
(d)
Aggregate
Market
Value
(See Instr. 3(d)
|
(e)
Number of Shares
or Other Units
Outstanding
(See Instr. 3(e))
|
(f)
Approximate Date of Sale
(See Instr. 3(f))
(MO. DAY YR.)
|
(g)
Name of Each
Securities
Exchange
(See instr. 3 g))
|
||||||||
|
Broker-Dealer
File Number
|
|||||||||||||||
|
Common
|
Merrill Lynch
101 Bullit Lane
Louisville, KY 40222
|
10,000
|
$766,350
based on FMV on
5/6/11 of $76.635
|
168,480,597 as of 4/30/11
|
May 9, 2011
|
NYSE
|
|||||||||
|
INSTRUCTIONS:
1. (a) Name of Issuer
(b) Issuer's I.R.S. Identification Number
(c) Issuer's S.E.C. file number, if any
(d) Issuer's address, including zip code
(e) Issuer's telephone number, including area code
|
3. (a) Title of the class of securities to be sold
(b) Name and Address of each broker through whom the securities are intended to be sold
(c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown
by the most recent report or statement published by the issuer
(f) Approximate date on which the securities are to be sold
(g) Name of each securities exchange, if any, on which the securities are intended to be sold
|
||||||||||||||
|
2. (a) Name of person for whose account the securities are to be sold
(b) Such person's relationship to the issuer (e.g., officer, director, 10%
stockholder, or member of immediate family of any of the foregoing)
(c) Such person's address, including zip code
|
|||||||||||||||
|
Potential persons who are to 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 1147 (08-07)
|
|||||||||||||||
|
TABLE I - SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor.
|
|||||||||
|
Title of
the Class
|
Date you
Acquired
|
Nature of Acquisition Transaction
|
Name of the Person from Whom Acquired
(if gift, also give date donor acquired
|
Amount of
Securities Acquired
|
Date of
Payment
|
Nature of Payment
|
|||
|
Common
|
12/5/2008
|
Stock Option Exercise
|
Issuer
|
10,000
|
12/5/2008
|
Cash
|
|||
|
INSTRUCTIONS:
|
If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
|
||||||||
|
_____________________________________________________________________________________________________________________________________________________________________________
|
|||||||||
|
TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS (1)
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
|
||||
|
Name and Address of Seller
|
Title of Securities Sold
|
Date of Sale
|
Amount of
Securities Sold
|
Gross Proceeds
|
|
David A. Jones, Jr.
500 West Main
Louisville, KY 40202
|
Common
|
2/23/2011
|
150,000
|
$9,550,830
|
|
REMARKS:
|
||||
|
INSTRUCTIONS:
|
ATTENTION:
|
|
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
|
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the issuer of the securities to be sold which has not been publicly disclosed. If each person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
|
|
May 9, 2011
DATE OF NOTICE
|
/s/ David A. Jones, Jr.
(SIGNATURE)
|
|
DATE OF PLAN OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 10B5-1
|
|
This notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
|
|
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
|
|
SEC 1147 (02-08)
|