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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 | ||||||||
Restricted Stock Units | (13) | 03/01/2016 | M | 427 | (14) | (14) | Common Stock | 427 | $ 0 | 0 | D | ||||
Restricted Stock Units | (13) | 03/01/2016 | M | 448 | (15) | (15) | Common Stock | 448 | $ 0 | 448 | D | ||||
Restricted Stock Units | (13) | 03/01/2016 | M | 270 | (16) | (16) | Common Stock | 270 | $ 0 | 541 | D | ||||
Market Stock Units | (17) | 03/01/2016 | M | 1,514 | (18) | (18) | Common Stock | 1,514 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HEBERT MAURICE C/O WELLCARE HEALTH PLANS, INC. 8735 HENDERSON ROAD TAMPA, FL 33634 |
Chief Accounting Officer |
/s/ Michael Haber, Attorney-in-fact | 03/03/2016 | |
**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) | Settlement of performance stock units that were granted on March 18, 2013 and vested on March 1, 2016 based upon the achievement of performance goals for the three-year performance period ending December 31, 2015. |
(2) | Forfeiture of shares to satisfy tax obligations related to performance stock units that were granted to the Reporting Person on March 18, 2013 and vested on March 1, 2016. |
(3) | Settlement of performance stock units that were granted on September 2, 2014 and vested on March 1, 2016 based upon the achievement of performance goals for the performance period ending December 31, 2015. |
(4) | Forfeiture of shares to satisfy tax obligations related to performance stock units that were granted to the Reporting Person on September 2, 2014 and vested on March 1, 2016. |
(5) | Vesting of restricted stock units granted to the Reporting Person on March 18, 2013. |
(6) | Forfeiture of shares to satisfy tax obligations related to restricted stock units that were granted to the Reporting Person on March 18, 2013 and vested on March 1, 2016. |
(7) | Vesting of restricted stock units granted to the Reporting Person on February 27, 2014. |
(8) | Forfeiture of shares to satisfy tax obligations related to restricted stock units that were granted to the Reporting Person on February 27, 2014 and vested on March 1, 2016. |
(9) | Vesting of restricted stock units granted to the Reporting Person on April 6, 2015. |
(10) | Forfeiture of shares to satisfy tax obligations related to restricted stock units that were granted to the Reporting Person on April 6, 2015 and vested on March 1, 2016. |
(11) | Settlement of market stock units that were granted on March 18, 2013 and vested on March 1, 2016. |
(12) | Forfeiture of shares to satisfy tax obligations related to market stock units that were granted to the Reporting Person on March 18, 2013 and vested on March 1, 2016. |
(13) | Each restricted stock unit represents a contingent right to receive one share of WCG common stock. |
(14) | The award of restricted stock units vests in approximately equal increments on March 1, 2014, March 1, 2015 and March 1, 2016. Vested shares will be delivered to the Reporting Person upon vest. |
(15) | The award of restricted stock units vests in approximately equal increments on March 1, 2015, March 1, 2016 and March 1, 2017. Vested shares will be delivered to the Reporting Person upon vest. |
(16) | The award of restricted stock units vests in approximately equal increments on March 1, 2016, March 1, 2017 and March 1, 2018. Vested shares will be delivered to the Reporting Person upon vest. |
(17) | Each market stock unit represents a contingent right to receive up to 2 shares of WCG common stock based on the average closing price for the last thirty trading days in 2015 compared to the last thirty trading days in 2012. |
(18) | The market stock units vested on March 1, 2016. Vested shares will be delivered to the Reporting Person upon vest. |