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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Humana Inc | NYSE:HUM | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
-3.63 | -1.02% | 351.80 | 355.79 | 350.51 | 355.63 | 869,097 | 01:00:00 |
x
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ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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¨
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TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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A.
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Full Title of Plan: Humana Puerto Rico Retirement Savings Plan
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B.
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Name of Issuer of the Securities held Pursuant to the Plan and the Address of its Principal Executive Office:
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Page
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Report of Independent Registered Public Accounting Firm
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Financial Statements
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Statements of Net Assets Available for Benefits,
December 31, 2019 and 2018
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Statements of Changes in Net Assets Available for Benefits,
for the years ended December 31, 2019 and 2018
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Notes to Financial Statements
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-
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Supplemental Schedule
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Schedule of Assets (Held at End of Year), December 31, 2019
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Signatures
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Exhibit Index
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2019
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2018
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Assets
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||||
Cash and cash equivalents
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$
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5,982
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$
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54,436
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Investments, at fair value
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56,886,165
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44,214,070
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||||
Employer contributions receivable
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101,719
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100,167
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Participant contributions receivable
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1,164
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1,269
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Notes receivable from participants
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2,560,651
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2,190,678
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Total receivables
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2,663,534
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2,292,114
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Total assets
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59,555,681
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46,560,620
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Liabilities
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Accrued expenses
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12,576
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—
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Total liabilities
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12,576
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—
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Net assets available for benefits
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$
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59,543,105
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$
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46,560,620
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2019
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2018
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Additions to net assets attributed to:
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Investment income:
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Net appreciation (depreciation) in fair value of investments
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$
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9,904,599
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$
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(1,525,938
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)
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Interest and dividend income
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303,788
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239,203
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Total investment income (loss)
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10,208,387
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(1,286,735
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)
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Contributions:
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Participant
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2,929,945
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2,604,712
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Employer (net of forfeitures)
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2,799,512
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2,388,047
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Total contributions
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5,729,457
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4,992,759
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Interest on notes receivable from participants
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114,419
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110,286
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Total additions
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16,052,263
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3,816,310
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Deductions from net assets attributed to:
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Benefits paid to participants
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2,885,234
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8,801,182
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Administrative expenses
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184,544
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154,628
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Total deductions
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3,069,778
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8,955,810
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Net increase (decrease)
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12,982,485
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(5,139,500
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)
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Net assets available for benefits:
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Beginning of year
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46,560,620
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51,700,120
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End of year
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$
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59,543,105
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$
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46,560,620
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1.
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DESCRIPTION OF THE PLAN
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2.
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SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
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3.
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INVESTMENTS
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Fair Value Measurements Using
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||||||||||||
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Fair Value
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Quoted Prices in Active Markets for Identical Assets
(Level 1) |
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Significant Other Observable Inputs
(Level 2) |
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Significant Unobservable Inputs
(Level 3) |
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December 31, 2019
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Mutual Funds:
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Fixed income funds
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$
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5,320,462
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$
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5,320,462
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$
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—
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$
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—
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Value funds
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704,236
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704,236
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—
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—
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Total Mutual funds
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6,024,698
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6,024,698
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—
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—
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Money Market Fund
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3,401,875
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3,401,875
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—
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—
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Humana Unitized Stock Fund/Humana Common Stock
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7,428,463
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7,428,463
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—
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—
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Personal Choice Retirement Account
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8,037
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8,037
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—
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—
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Total Investments in the fair value hierarchy
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$
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16,863,073
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$
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16,863,073
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$
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—
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$
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—
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Common/Collective Trust Funds (1)
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39,713,394
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—
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—
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—
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Humana Unitized Stock Fund/Money Market Fund (1)
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309,698
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—
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—
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—
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||||
Total Investments, at fair value
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$
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56,886,165
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$
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16,863,073
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$
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—
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$
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—
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Fair Value Measurements Using
|
||||||||||||
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Fair Value
|
|
Quoted Prices in Active Markets for Identical Assets
(Level 1) |
|
Significant Other Observable Inputs
(Level 2) |
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Significant Unobservable Inputs
(Level 3) |
||||||||
December 31, 2018
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Mutual Funds:
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Fixed income funds
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$
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4,785,848
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$
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4,785,848
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$
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—
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$
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—
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Value funds
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498,254
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498,254
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—
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—
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Total Mutual funds
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5,284,102
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5,284,102
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—
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—
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Money Market Fund
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3,354,998
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3,354,998
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—
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—
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Humana Unitized Stock Fund/Humana Common Stock
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5,942,634
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5,942,634
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—
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—
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Personal Choice Retirement Account
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5,973
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5,973
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—
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—
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||||
Total Investments in the fair value hierarchy
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$
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14,587,707
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$
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14,587,707
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$
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—
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$
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—
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Common/Collective Trust Funds (1)
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29,364,573
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—
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—
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—
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||||
Humana Unitized Stock Fund/Money Market Fund (1)
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261,790
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—
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—
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—
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||||
Total Investments, at fair value
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$
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44,214,070
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$
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14,587,707
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$
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—
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$
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—
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(1)
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Certain investments that are measured at fair value using the net asset value per share (or its equivalent) practical expedient have not been classified in the fair value hierarchy. The fair value amounts presented in this table are intended to permit reconciliation of the fair value hierarchy to the amounts presented in the Statements of Net Assets Available for Benefits.
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4.
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INCOME TAX STATUS
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5.
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RELATED PARTY AND PARTY-IN-INTEREST TRANSACTIONS
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6.
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RISKS AND UNCERTAINTIES
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7.
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SUBSEQUENT EVENTS
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(a)
|
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(b)
Identity of Issuer, Borrower, Lessor or Similar Party |
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(c)
Description of investment |
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(d)
Cost** |
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(e) Current Value
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Registered Investment Companies (Mutual Funds):
|
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Pimco Total Return Fund
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Mutual fund
|
|
—
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$
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5,320,462
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Delaware Small Cap Value Fund I
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Mutual fund
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—
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704,236
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Total Mutual Funds
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6,024,698
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Common/Collective Trusts:
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State Street All Cap Eq US IDX NL K
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Common/Collective Trust
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—
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1,666,207
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Artisan International Growth Trust
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Common/Collective Trust
|
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—
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2,927,639
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|
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*
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Schwab Institutional Large Cap Value Trust Fund
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Common/Collective Trust
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—
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5,153,885
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JPMCB Large Cap Growth Fund CF-A
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Common/Collective Trust
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—
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3,997,570
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*
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|
Schwab Managed Retirement Trust 2010 Fund Class VI
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Common/Collective Trust
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—
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299,017
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|
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*
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Schwab Managed Retirement Trust 2015 Fund Class VI
|
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Common/Collective Trust
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—
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|
3,891
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|
|
*
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Schwab Managed Retirement Trust 2020 Fund Class VI
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Common/Collective Trust
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—
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|
2,100,716
|
|
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*
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Schwab Managed Retirement Trust 2025 Fund Class VI
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|
Common/Collective Trust
|
|
—
|
|
68,593
|
|
|
*
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Schwab Managed Retirement Trust 2030 Fund Class VI
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|
Common/Collective Trust
|
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—
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3,097,777
|
|
|
*
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Schwab Managed Retirement Trust 2035 Fund Class VI
|
|
Common/Collective Trust
|
|
—
|
|
36,753
|
|
|
*
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Schwab Managed Retirement Trust 2040 Fund Class VI
|
|
Common/Collective Trust
|
|
—
|
|
5,837,735
|
|
|
*
|
|
Schwab Managed Retirement Trust 2045 Fund Class VI
|
|
Common/Collective Trust
|
|
—
|
|
88,156
|
|
|
*
|
|
Schwab Managed Retirement Trust 2050 Fund Class VI
|
|
Common/Collective Trust
|
|
—
|
|
4,110,279
|
|
|
*
|
|
Schwab Managed Retirement Trust 2055 Fund Class VI
|
|
Common/Collective Trust
|
|
—
|
|
170,877
|
|
|
*
|
|
Schwab Managed Retirement Trust 2060 Fund Class VI
|
|
Common/Collective Trust
|
|
—
|
|
80,413
|
|
|
*
|
|
Schwab Managed Retirement Trust Income Fund Class VI
|
|
Common/Collective Trust
|
|
—
|
|
126,390
|
|
|
|
|
State Street Russell All Cap C
|
|
Common/Collective Trust
|
|
—
|
|
5,475,503
|
|
|
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State Street Russell Sm Cap K
|
|
Common/Collective Trust
|
|
—
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|
2,341,032
|
|
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State Street S&P 500 INDX NL K
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|
Common/Collective Trust
|
|
—
|
|
86,270
|
|
|
|
|
Loomis Sayles SCAP GRTH D
|
|
Common/Collective Trust
|
|
—
|
|
2,044,691
|
|
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Total Common/Collective Trusts
|
|
|
|
|
|
39,713,394
|
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|
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|
||
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Other Investments:
|
|
|
|
|
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|
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*
|
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Humana Unitized Stock Fund:
|
|
|
|
|
|
|
||
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Humana Common Stock
|
|
Common Stock
|
|
—
|
|
7,428,463
|
|
|
|
|
State Street Global Advisors Government Money Market Fund
|
|
Money Market Fund
|
|
—
|
|
309,698
|
|
|
|
|
Total Humana Unitized Stock Fund
|
|
|
|
|
|
7,738,161
|
|
|
*
|
|
Personal Choice Retirement Account - Self-directed Brokerage Account
|
|
Brokerage accounts
|
|
—
|
|
8,037
|
|
|
*
|
|
Schwab Government Money Fund
|
|
Money Market Fund
|
|
—
|
|
3,401,875
|
|
|
*
|
|
Notes Receivable from Participants, Interest Rate: 4.25% - 6.50%, with Maturity Dates: 2020-2028
|
|
Participant loans
|
|
—
|
|
2,560,651
|
|
|
|
|
Total
|
|
|
|
|
|
$
|
59,446,816
|
|
*
|
|
Party-in-interest to the Plan
|
|
|
|
|
|
|
||
**
|
|
Historical cost is not required as all investments are participant-directed
|
|
|
|
|
/s/ BRIAN A. KANE
|
Brian A. Kane
|
Member, Humana Retirement Plans Committee
|
June 17, 2020
|
1 Year Humana Chart |
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