SEC Form 4 · accession 0001127602-15-001487
PULTEGROUP INC/MI/ · PHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Dugas Jr.
Officer — Pres. and Chief Exec. Officer · Director
Period of report
Jan 7, 2015
Accepted (ET)
Jan 9, 2015 · 3:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000822416
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 7, 2015 | M | 72,212 | $11.355 | A | 1,241,930 | D | |
| Common StockF2 | Jan 7, 2015 | S | 72,212 | $22.0045 | D | 1,169,718 | D | |
| Common Stock | Jan 8, 2015 | M | 39,890 | $11.355 | A | 1,209,608 | D | |
| Common StockF4 | Jan 8, 2015 | S | 39,890 | $22.2027 | D | 1,169,718 | D | |
| Common Stock | holding | — | — | — | 206 | I | Susan Dugas Bene IRA (Rita M Ochs-DECD) | |
| UnitsF5 | holding | — | — | — | 8,360 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F6 | $11.355 | Jan 7, 2015 | M | 72,212 | D | Dec 9, 2010 | Dec 9, 2018 | Common Stock | 72,212 | 39,890 | D |
| Employee Stock Option (Right to Buy)F6 | $11.355 | Jan 8, 2015 | M | 39,890 | D | Dec 9, 2010 | Dec 9, 2018 | Common Stock | 39,890 | 0 | D |
Explanation of responses
- F1Pursuant to a plan intended to comply with Rule 10b5-1(c).
- F2The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $22 to $22.11, inclusive. The reporting person undertakes to provide 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 withinin the ranges set forth in this footnote.
- F3Pursuant to a plan intended to comply with Rule 10b5-1(c).
- F4The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $22 to $22.38, inclusive. The reporting person undertakes to provide 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 withinin the ranges set forth in this footnote.
- F5Represents units of the PulteGroup, Inc. Stock Fund (the "Fund") of the PulteGroup, Inc. 401(k) Plan. The Fund consists of cash and Common Stock in amounts that vary from time to time. The reporting person's units represent 17,990.306 shares of PulteGroup, Inc. Common Stock held in the Fund as of 1/07/2015.
- F6Fully vested and exercisable.