SEC Form 4 · accession 0001071739-15-000089
CENTENE CORP · CNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carol Goldman
Officer — Exec VP Chief Admin Officer
Period of report
Dec 29, 2010
Accepted (ET)
Jul 21, 2015 · 7:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001071739
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 29, 2010 | G | 800 | $0.00 | D | 151,680 | D | |
| Common StockF1 | Dec 31, 2011 | G | 568 | $0.00 | D | 151,112 | D | |
| Common StockF1 | Apr 20, 2012 | G | 138,238 | $0.00 | D | 12,874 | D | |
| Common StockF2 | Apr 20, 2012 | G | 138,238 | $0.00 | A | 138,238 | I | By Trust |
| Common StockF1 | Aug 7, 2012 | G | 4,398 | $0.00 | D | 8,476 | D | |
| Common StockF2 | Aug 7, 2012 | G | 4,398 | $0.00 | A | 142,636 | I | By Trust |
| Common StockF2 | Sep 13, 2012 | G | 30,000 | $0.00 | D | 112,636 | I | By Trust |
| Common StockF1 | Sep 13, 2012 | G | 30,000 | $0.00 | A | 38,476 | D | |
| Common StockF2 | Dec 5, 2012 | G | 30,000 | $0.00 | D | 82,636 | I | By Trust |
| Common StockF1 | Dec 5, 2012 | G | 30,000 | $0.00 | A | 68,476 | D | |
| Common StockF2 | Dec 31, 2012 | G | 504 | $0.00 | D | 82,132 | I | By Trust |
| Common StockF1 | Jan 4, 2013 | G | 19,180 | $0.00 | D | 49,296 | D | |
| Common StockF2 | Jan 4, 2013 | G | 19,180 | $0.00 | A | 101,312 | I | By Trust |
| Common StockF2 | May 29, 2013 | G | 20,000 | $0.00 | D | 81,312 | I | By Trust |
| Common StockF1 | May 29, 2013 | G | 20,000 | $0.00 | A | 69,296 | D | |
| Common StockF1 | Jan 3, 2014 | G | 18,216 | $0.00 | D | 51,080 | D | |
| Common StockF2 | Jan 3, 2014 | G | 18,216 | $0.00 | A | 99,528 | I | By Trust |
| Common StockF2 | Jan 17, 2014 | G | 20,000 | $0.00 | D | 79,528 | I | By Trust |
| Common StockF1 | Jan 17, 2014 | G | 20,000 | $0.00 | A | 71,080 | D | |
| Common StockF1 | Apr 9, 2014 | G | 4,812 | $0.00 | D | 66,268 | D | |
| Common StockF2 | Apr 9, 2014 | G | 4,812 | $0.00 | A | 84,340 | I | By Trust |
| Common StockF3,F2 | Jul 28, 2014 | G | 41,800 | $0.00 | D | 41,994 | I | By Trust |
| Common StockF1,F3 | Jul 28, 2014 | G | 41,800 | $0.00 | A | 108,614 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF4,F5 | $0.00 | holding | — | — | — | Dec 31, 2007 | Dec 31, 2007 | Common Stock | 441 | 441 | D |
| Common Stock Option (right to buy) | $12.60 | holding | — | — | — | Dec 12, 2009 | Dec 12, 2016 | Common Stock | 6,000 | 6,000 | D |
Explanation of responses
- F1Ownership includes previous awards of 92,000 restricted stock units subject to vesting requirements.
- F2The reporting person serves as co-trustee and co-beneficiary of the trust with her spouse.
- F3Ownership balance reflects gifts of 546 shares from trust, previously reported as gifts from direct ownership.
- F4Each share of phantom stock represents the right to receive the fair market value of one share of Centene common stock.
- F5The phantom stock has no formal expiration date. The phantom stock will be settled in cash or other non-Company securities upon Ms. Goldman's termination with the Company or on such other date Ms. Goldman may elect.