SEC Form 4 · accession 0001127602-15-025469
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
Aug 18, 2015
Accepted (ET)
Aug 20, 2015 · 10:17 am 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 | 42,422 | $12.335 | A | 1,311,486 | D | |
| Common StockF2 | Aug 18, 2015 | S | 42,422 | $22.0252 | D | 1,269,064 | D | |
| Common Stock | Aug 19, 2015 | M | 82,578 | $12.335 | A | 1,351,642 | D | |
| Common StockF3 | Aug 19, 2015 | S | 82,578 | $22.0016 | D | 1,269,064 | D | |
| Common Stock | holding | — | — | — | 40,612 | I | Susan Dugas Trust (spouse) | |
| Common Stock | holding | — | — | — | 206 | I | Susan Dugas Bene IRA (Rita M Ochs-DECD) | |
| UnitsF4 | 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)F5 | $12.335 | Aug 18, 2015 | M | 42,422 | D | Aug 18, 2011 | Aug 18, 2019 | Common Stock | 42,422 | 82,578 | D |
| Employee Stock Option (Right to Buy)F5 | $12.335 | Aug 19, 2015 | M | 82,578 | D | Aug 18, 2011 | Aug 18, 2019 | Common Stock | 82,578 | 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 $22.00 to $22.095, 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 within the ranges set forth in this footnote.
- F3The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.045, 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 within the ranges set forth in this footnote.
- F4Represents 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 represents 18,090.57 shares of PulteGroup, Inc. Common Stock held in the Fund as of 8/18/2015.
- F5These options vest 50% on 8/18/2011; and 25% on both 8/18/2012 and 8/18/2013.