# EDGAR Filing Document

**Accession Number:** 0000049071
**File Stem:** 0001062993-23-005075
**Filing Date:** 2023-2
**Character Count:** 9232
**Document Hash:** 73075d9bc9ddfb9847ba98f4155d7981
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-005075.hdr.sgml**: 20230228

**ACCESSION NUMBER**: 0001062993-23-005075

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230224

**FILED AS OF DATE**: 20230228

**DATE AS OF CHANGE**: 20230228

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Ventura Joseph C
- **CENTRAL INDEX KEY:** 0001768291

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-05975
- **FILM NUMBER:** 23683381

**MAIL ADDRESS:**
- **STREET 1:** 500 W MAIN STREET
- **CITY:** LOUISVILLE
- **STATE:** KY
- **ZIP:** 40202
**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

### 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 Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Ventura Joseph C<br><sub>(Last) (First) (Middle)</sub><br>HUMANA INC.<br>500 W MAIN STREET<br><sub>(Street)</sub><br>LOUISVILLE, KY 40202<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-24 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Legal Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>HUMANA INC [ HUM ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Humana Common | 2023-02-24 |  | M |  | 3293<sup>(10)</sup> | A | $0 | 7549 | D |  |
| Humana Common | 2023-02-24 |  | F |  | 1245<sup>(11)</sup> | D | $510.2425 | 6304 | D |  |
| Humana Common | 2023-02-27 |  | S |  | 2048 | D | 507.9728<sup>(12)</sup> | 4256 | D |  |
| Humana Common | 2023-02-27 |  | G |  | 69<sup>(13)</sup> | D | $0 | 4187 | D |  |
| Humana Common |  |  |  |  |  |  |  | 231 | I | See Footnote<sup>(1)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Options<sup>(2)</sup> | $350.7875 |  |  |  |  |  |  | <sup>(2)</sup> | 2027-02-24 | Humana Common | 4656 |  | 4656 | D |  |
| Options<sup>(3)</sup> | $376.61 |  |  |  |  |  |  | <sup>(3)</sup> | 2028-02-22 | Humana Common | 4598 |  | 4598 | D |  |
| Options<sup>(4)</sup> | $425.055 |  |  |  |  |  |  | <sup>(4)</sup> | 2029-02-21 | Humana Common | 3932 |  | 3932 | D |  |
| Options<sup>(5)</sup> | $510.2425 | 2023-02-24 |  | A |  | 4162 |  | <sup>(5)</sup> | 2030-02-24 | Humana Common | 4162 | $0 | 4162 | D |  |
| Restricted Stock Units<sup>(6)</sup> | <sup>(6)</sup> |  |  |  |  |  |  | <sup>(7)</sup> | <sup>(7)</sup> | Humana Common | 373 |  | 373 | D |  |
| Restricted Stock Units<sup>(6)</sup> | <sup>(6)</sup> |  |  |  |  |  |  | <sup>(8)</sup> | <sup>(8)</sup> | Humana Common | 724 |  | 724 | D |  |
| Restricted Stock Units<sup>(6)</sup> | <sup>(6)</sup> | 2023-02-24 |  | A |  | 1078 |  | <sup>(9)</sup> | <sup>(9)</sup> | Humana Common | 1078 | $0 | 1078 | D |  |

---

### Footnotes:

(1) Shares held for the benefit of reporting person as of January 31, 2023 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).

(2) Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2020, vesting in three annual increments from 2/24/21 to 2/24/23.

(3) Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.

(4) Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.

(5) Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/24/2023, vesting in three annual increments from 2/24/24 to 2/24/26.

(6) 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).

(7) Restricted stock units granted to reporting person on 02/22/2021, 33% of the award is vesting on 12/15/21, 12/15/22, and 12/15/23.

(8) Restricted stock units granted to reporting person on 02/21/2022, 33% of the award is vesting on 12/15/22, 12/15/23, and 12/15/24.

(9) Restricted stock units granted to reporting person on 02/24/2023, 33% of the award is vesting on 12/15/23, 12/15/24, and 12/15/25.

(10) Performance Stock Units vested on 2/24/23, not required to be reported until vest.

(11) Disposition reported represents shares withheld for payment of tax liability associated with vesting of Performance Stock Units on 2/24/23.

(12) Price reported is weighted average sales price.

(13) Disposition reported represents gift/charitable donation, effective February 27, 2023, in which no value was received in return.

**Signature:** Joseph C. Ventura  
**Date:** 2023-02-28

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* 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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**