0001062993-23-009378.txt : 20230420 0001062993-23-009378.hdr.sgml : 20230420 20230420105945 ACCESSION NUMBER: 0001062993-23-009378 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230420 FILED AS OF DATE: 20230420 DATE AS OF CHANGE: 20230420 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OBRIEN JAMES J /KY CENTRAL INDEX KEY: 0001023582 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 23831839 MAIL ADDRESS: STREET 1: ASHLAND INC. STREET 2: 50 E. RIVERCENTER BLVD CITY: COVINGTON STATE: KY ZIP: 41011 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 500 W MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 BUSINESS PHONE: 5025801000 MAIL ADDRESS: STREET 1: 500 W. MAIN ST CITY: LOUISVILLE STATE: KY ZIP: 40202 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 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0407 4 2023-04-20 1 0000049071 HUMANA INC HUM 0001023582 OBRIEN JAMES J /KY HUMANA INC. 500 W. MAIN STREET LOUISVILLE KY 40202 1 0 0 0 0 Humana Common 1794 I See Footnote Restricted Stock Units Humana Common 28925 28925 D Restricted Stock Units Humana Common 737 737 D Annual Director's fee payable in stock units which have been deferred at the election of the reporting person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1) and the total includes the vested portion that was subsequently deferred for years 2013 and later. Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d). Shares held by revocable trust account (March 2015), on which reporting person is the sole trustee, holding certain shares of Humana Inc. common stock. Includes 380 restricted stock units pursuant to the annual Director's Fee Program representing a contingent right to receive one share of Humana Inc. common stock exempt under Rule 16b-3(d)(1)&(3) under the Company's 2019 Amended & Restated Plan of which 100% is vesting on 12/31/2023. Award will be pro-rated based on completed months served in the current year. James J. O'Brien 2023-04-20