SEC Form 4 · accession 0001127602-15-025416
PULTEGROUP INC/MI/ · PHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ryan Marshall
Officer — Executive Vice President
Period of report
Aug 18, 2015
Accepted (ET)
Aug 19, 2015 · 4:45 pm EDT
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 | Aug 18, 2015 | M | 13,500 | $10.93 | A | 121,088 | D | |
| Common Stock | Aug 18, 2015 | S | 13,500 | $22.00 | D | 107,588 | D | |
| UnitsF2 | holding | — | — | — | 1,080 | 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)F3 | $10.93 | Aug 18, 2015 | M | 13,500 | D | Dec 6, 2009 | Dec 6, 2017 | Common Stock | 13,500 | 0 | D |
Explanation of responses
- F1Pursuant to a plan intended to comply with Rule 10b5-1(c).
- F2Represents 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 2,336.855 shares of PulteGroup, Inc. Common Stock held in the Fund as of 8/18/2015.
- F3fully vested and exercisable.