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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock | $ 0 (3) | 02/12/2010 | 02/12/2010(4) | Phantom Stock | 306.608 | 306.608 | D | ||||||||
Common Stock Option (right to buy) | $ 24.79 | 12/12/2012 | 12/12/2017 | Common Stock | 5,000 | 5,000 | D | ||||||||
Common Stock Option (right to buy) | $ 18.44 | 07/27/2014 | 07/27/2019 | Common Stock | 5,000 | 5,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HARROLD JASON M 7700 FORSYTH BOULEVARD ST. LOUIS, MO 63105 |
EVP, Specialty Comp. Bus. Unit |
/s/ William N. Scheffel (executed by attorney-in-fact) | 04/02/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This sale is pursuant to a 10b5-1 Trading Plan that was established on March 3, 2014. 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. |
(2) | Ownership includes previous awards of 27,834 restricted stock units subject to vesting requirements. |
(3) | Each share of phantom stock represents the right to receive the fair market value of one share of Centene common stock. |
(4) | The phantom stock has no formal expiration date. The phantom stock will be settled in cash or other non-Company securities upon Mr. Harrold's termination with the Company or on such other date Mr. Harrold may elect. |