SEC Form 4 · accession 0001071739-16-000285
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
Oct 3, 2016
Accepted (ET)
Oct 4, 2016 · 7:41 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,F2 | Oct 3, 2016 | S | 10,000 | $66.36 | D | 30,801 | I | By Trust |
| Common StockF3 | holding | — | — | — | 78,500 | 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 |
Explanation of responses
- F1This sale is pursuant to a 10b5-1 Trading Plan that was established on September 1, 2016. The weighted average price for this transaction is reported within the form. Full information regarding the number of shares at each price is available upon request.
- F2The reporting person serves as co-trustee and co-beneficiary of the trust with her spouse.
- F3Ownership includes previous awards of 78,500 restricted stock units subject to vesting requirements.
- 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.