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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 | ||||||||
Stock Option (Right to Buy) | $ 23.03 | 09/10/2014 | M(1) | 44,500 | 02/22/2013 | 02/22/2017 | Common Stock | 44,500 | $ 0 | 22,100 | D | ||||
Stock Option (Right to Buy) | $ 30.73 | 09/10/2014 | M(5) | 23,600 | (10) | 02/18/2018 | Common Stock | 23,600 | $ 0 | 23,400 | D | ||||
Stock Option (Right to Buy) | $ 23.03 | 09/11/2014 | M(1) | 11,000 | 02/22/2013 | 02/22/2017 | Common Stock | 11,000 | $ 0 | 11,100 | D | ||||
Stock Option (Right to Buy) | $ 30.73 | 09/11/2014 | M(5) | 11,650 | (10) | 02/18/2018 | Common Stock | 11,650 | $ 0 | 11,750 | D | ||||
Stock Option (Right to Buy) | $ 29.2 | 09/11/2014 | M(9) | 1,050 | (11) | 02/24/2015 | Common Stock | 1,050 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sell Steven 21650 OXNARD STREET WOODLAND HILLS, CA 91367 |
President, West RegHealth Plan |
/s/ Steven Sell | 09/12/2014 | |
**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) | Exercise of a Stock Option (Right to Buy) granted to the Reporting Person on February 22, 2010 under the Issuer's 2006 Long-Term Incentive Plan, as amended (the "2010 Grant"), in a transaction exempt under Rule 16b-3 of the Securities Exchange Act of 1934, as amended (the "Act"). The exercise of the 2010 Grant, as reported on this Form 4, was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Act. |
(2) | Includes shares held by the Steven J. Sell and Margaret D. William Revocable Trust, of which the Reporting Person is a trustee and beneficiary. |
(3) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $46.05 to $46.94, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. These sales of Common Stock by the Reporting Person, as reported on this Form 4, were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Act. |
(4) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $47.08 to $47.28, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. These sales of Common Stock by the Reporting Person, as reported on this Form 4, were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Act. |
(5) | Exercise of a Stock Option (Right to Buy) granted to the Reporting Person on February 18, 2011 under the Issuer's 2006 Long-Term Incentive Plan, as amended (the "2011 Grant"), in a transaction exempt under Rule 16b-3 of the Act. The exercise of the 2011 Grant, as reported on this Form 4, was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Act. |
(6) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $46.07 to $46.83, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. These sales of Common Stock by the Reporting Person, as reported on this Form 4, were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Act. |
(7) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $47.08 to $47.11, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. These sales of Common Stock by the Reporting Person, as reported on this Form 4, were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Act. |
(8) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $46.08 to $46.68, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein. These sales of Common Stock by the Reporting Person, as reported on this Form 4, were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Act. |
(9) | Exercise of a Stock Option (Right to Buy) granted to the Reporting Person on February 24, 2005 under the Issuer's 1998 Stock Option Plan, as amended (the "2005 Grant"), in a transaction exempt under Rule 16b-3 of the Act. The exercise of the 2005 Grant, as reported on this Form 4, was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Act. |
(10) | The 2011 Grant became exercisable in 33 1/3% increments on each of the first, second, and third anniversaries of February 18, 2011, the grant date. |
(11) | The 2005 Grant became exercisable in 25% increments on each of the first, second, third and fourth anniversaries of February 24, 2005, the grant date. |