0001062993-23-018228.txt : 20230919 0001062993-23-018228.hdr.sgml : 20230919 20230919093933 ACCESSION NUMBER: 0001062993-23-018228 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230915 FILED AS OF DATE: 20230919 DATE AS OF CHANGE: 20230919 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH BRAD D CENTRAL INDEX KEY: 0001284323 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05975 FILM NUMBER: 231262661 MAIL ADDRESS: STREET 1: 1040 13TH AVE CITY: HUNTINGTON STATE: WV ZIP: 25701 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 X0508 4 2023-09-15 0000049071 HUMANA INC HUM 0001284323 SMITH BRAD D HUMANA INC. 500 W. MAIN STREET LOUISVILLE KY 40202 1 0 0 0 0 Humana Common 2023-09-15 4 M 0 386 0 A 386 D Restricted Stock Units 2023-09-15 4 M 0 386 0 D Humana Common 386 0 D Restricted Stock Units Humana Common 380 380 D Restricted Stock Units Humana Common 132 132 D Right to receive one share per restricted stock unit pursuant to the Company's 2019 Amended & Restated Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3). Initial award of $190,000 worth of restricted stock units pursuant to the annual Director Compensation Program. 100% of the award will vest on 9/15/2023 and forfeited in its entirety if service is less than one year. Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under Company's 2019 Amended & Restated Plan.100% of the award is vesting on 12/31/23. Director's cash fee elected to be converted into stock units, 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). Brad D. Smith 2023-09-19