# EDGAR Filing Document

**Accession Number:** 0001964078
**File Stem:** 0001062993-23-001781
**Filing Date:** 2023-2
**Character Count:** 6316
**Document Hash:** 3b7e8d3685e08b12e3f5dc1c2f343e01
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-001781.hdr.sgml**: 20230201

**ACCESSION NUMBER**: 0001062993-23-001781

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230201

**FILED AS OF DATE**: 20230201

**DATE AS OF CHANGE**: 20230201

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Renaudin George II
- **CENTRAL INDEX KEY:** 0001964078

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-05975
- **FILM NUMBER:** 23575194

**MAIL ADDRESS:**
- **STREET 1:** 500 W. MAIN SREET
- **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 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Renaudin George II<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. Issuer Name and Ticker or Trading Symbol**<br>HUMANA INC [ HUM ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-02-01 | **4. 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>_President, Medicare & Medicaid_ | **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 Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Humana Common | 0 | D |  |
| Humana Common | 1364 | I | See Footnote<sup>(1)</sup> |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units<sup>(2)</sup> | <sup>(3)</sup> | <sup>(3)</sup> | Humana Common | 241 | $0 | D |  |
| Restricted Stock Units<sup>(2)</sup> | <sup>(4)</sup> | <sup>(4)</sup> | Humana Common | 1241 | $0 | D |  |
| Restricted Stock Units<sup>(2)</sup> | <sup>(5)</sup> | <sup>(5)</sup> | Humana Common | 459 | $0 | D |  |
| Restricted Stock Units<sup>(2)</sup> | <sup>(6)</sup> | <sup>(6)</sup> | Humana Common | 609 | $0 | D |  |
| Phantom Stock Units<sup>(7)</sup> | <sup>(7)</sup> | <sup>(7)</sup> | Humana Common | 418 | $0 | I | See Footnote<sup>(7)</sup> |

---

### Footnotes:

(1) Shares held for the benefit of reporting person as of January 23, 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 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).

(3) Restricted stock units granted to reporting person on 2/22/2021, 33% of the award is vesting on 12/15/21, 12/15/22, and 12/15/23. Amount reported is what remains unvested.

(4) Restricted stock units granted to reporting person on 9/1/2021, 100% of the award is vesting on 9/1/2024.

(5) Restricted stock units granted to reporting person on 2/21/2022, 33% of the award is vesting on 12/15/22, 12/15/23, and 12/15/24. Amount reported is what remains unvested.

(6) Restricted stock units granted to reporting person on 10/1/2022, 100% of the award is vesting on 10/1/2025.

(7) Phantom Stock Units held for the benefit of reporting person as of January 23, 2023 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of
units reflects normal fluctuation due to changes in stock price.

**Signature:** George Renaudin II  
**Date:** 2023-02-01

### 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.**