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||
Transaction
Valuation (1)
|
|
Amount of Filing Fee
(2)
|
$7,990,031
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$446
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(1)
|
Estimated
solely for purposes of calculating the amount of the filing fee. The
calculation assumes that all options to purchase shares of the Issuer’s
common stock that are eligible for exchange in the offer will be tendered
pursuant to the offer. These options have an aggregate value of
$7,990,031, calculated using a binomial lattice model.
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|
(2)
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The
Amount of Filing Fee, calculated in accordance with the Securities
Exchange Act of 1934, as amended, equals $55.80 per $1,000,000 of the
aggregate amount of the Transaction Valuation. The Transaction
Valuation set forth above was calculated for the sole purpose of
determining the Amount of Filing Fee and should not be used for any other
purpose.
|
|
x
|
Check
the box if any part of the fee is offset as provided by
Rule 0-11(a)(2) and identify the filing with which the offsetting fee
was previously paid. Identify the previous filing by registration
statement number, or the Form or Schedule and the date of its
filing.
|
Amount Previously Paid: $446. | Form or Registration No.: Schedule TO-I. | ||
Filing Party: WellCare Health Plans, Inc. | Date Filed: August 17, 2009. |
¨
|
Check
the box if the filing relates solely to preliminary communications made
before the commencement of a tender offer.
|
|
Check
the appropriate boxes below to designate any transactions to which the
statement relates:
|
||
¨
|
third-party
tender offer subject to Rule 14d-1.
|
|
x
|
issuer
tender offer subject to Rule 13e-4.
|
|
¨
|
going-private
transaction subject to Rule 13e-3.
|
|
¨
|
amendment
to Schedule 13D under
Rule 13d-2.
|
Exhibit No.
|
Description
|
||
(a)(1)(A)*
|
Offer
to Exchange Certain Outstanding Stock Options for Restricted Stock
Units.
|
||
(a)(1)(B)
|
Election
Form.
|
||
(a)(1)(C)*
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Notice
of Withdrawal/Change of Election Form.
|
||
(a)(1)(D)*
|
Form
of Cover Letter to Certain Eligible Option Holders Regarding the Stock
Option Exchange Offer.
|
||
(a)(1)(E)*
|
Form
of E-mail Communication to Eligible Option Holders Announcing Program
Launch.
|
||
(a)(1)(F)*
|
Form
of E-mail Communication Reminder to Eligible Option
Holders.
|
||
(a)(1)(G)*
|
Screen
shots from Stock Option Exchange Program Website.
|
||
(a)(1)(H)*
|
Form
of Option Exchange Expiration and Confirmation Communication to
Participants.
|
||
(a)(1)(I)*
|
Form
of Option Exchange Expiration and Confirmation Communication to
Non-Participants.
|
||
(a)(1)(J)*
|
Form
of Communication Rejecting the Election Form.
|
||
(a)(1)(K)*
|
Form
of Communication Rejecting the Notice of Withdrawal/Change of Election
Form.
|
||
(a)(1)(L)*
|
Form
of E-mail Communication to Certain Members of Management Regarding Program
Launch.
|
||
(b)
|
Not
applicable.
|
||
(d)(1)*
|
WellCare
Health Plans, Inc. 2004 Equity Incentive Plan (incorporated by reference
to the Company’s quarterly report on Form 10-Q for the quarterly period
ended June 30, 2004).
|
||
(d)(2)*
|
Form
of RSU Award Agreement.
|
||
(g)
|
Not
applicable.
|
||
(h)
|
Not
applicable.
|
||
99.1*
|
Risk
Factors related to the Company and its business (incorporated by reference
to the Company’s Annual Report on Form 10-K for the fiscal year ended
December 31, 2008 and Quarterly Reports on Form 10-Q for the fiscal
quarters ended March 31, 2009 and June 30, 2009).
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||
*Previously
filed
|
Date: August 27,
2009
|
WELLCARE
HEALTH PLANS, INC.
/s/
Heath
Schiesser
|
Heath
Schiesser
|
|
President
and Chief Executive Officer
|
Exhibit No.
|
Description
|
||
(a)(1)(A)*
|
Offer
to Exchange Certain Outstanding Stock Options for Restricted Stock
Units.
|
||
(a)(1)(B)
|
Election
Form.
|
||
(a)(1)(C)*
|
Notice
of Withdrawal/Change of Election Form.
|
||
(a)(1)(D)*
|
Form
of Cover Letter to Certain Eligible Option Holders Regarding the Stock
Option Exchange Offer.
|
||
(a)(1)(E)*
|
Form
of E-mail Communication to Eligible Option Holders Announcing Program
Launch.
|
||
(a)(1)(F)*
|
Form
of E-mail Communication Reminder to Eligible Option
Holders.
|
||
(a)(1)(G)*
|
Screen
shots from Stock Option Exchange Program Website.
|
||
(a)(1)(H)*
|
Form
of Option Exchange Expiration and Confirmation Communication to
Participants.
|
||
(a)(1)(I)*
|
Form
of Option Exchange Expiration and Confirmation Communication to
Non-Participants.
|
||
(a)(1)(J)*
|
Form
of Communication Rejecting the Election Form.
|
||
(a)(1)(K)*
|
Form
of Communication Rejecting the Notice of Withdrawal/Change of Election
Form.
|
||
(a)(1)(L)*
|
Form
of E-mail Communication to Certain Members of Management Regarding Program
Launch.
|
||
(b)
|
Not
applicable.
|
||
(d)(1)*
|
WellCare
Health Plans, Inc. 2004 Equity Incentive Plan (incorporated by reference
to the Company’s quarterly report on Form 10-Q for the quarterly period
ended June 30, 2004).
|
||
(d)(2)*
|
Form
of RSU Award Agreement.
|
||
(g)
|
Not
applicable.
|
||
(h)
|
Not
applicable.
|
||
99.1*
|
Risk
Factors related to the Company and its business (incorporated by reference
to the Company’s Annual Report on Form 10-K for the fiscal year ended
December 31, 2008 and Quarterly Reports on Form 10-Q for the fiscal
quarters ended March 31, 2009 and June 30, 2009).
|
||
*Previously
filed
|