SEC Form 5 · accession 0001071739-17-000011
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 31, 2016
Accepted (ET)
Feb 13, 2017 · 8:39 pm EST
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 28, 2016 | G | 170 | $0.00 | D | 30,631 | I | By Trust |
| Common StockF2 | holding | — | — | — | 70,876 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F4 | $0.00 | holding | — | — | — | Dec 31, 2007 | Dec 31, 2007 | Common Stock | 441 | 441 | D |
Explanation of responses
- F1The reporting person serves as co-trustee and co-beneficiary of the trust with her spouse.
- F2Ownership includes 51,750 shares of restricted stock units subject to vesting requirements.
- F3Each share of phantom stock represents the right to receive the fair market value of one share of Centene common stock.
- F4The 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.