SEC Form 4 · accession 0001127602-16-040291
PULTEGROUP INC/MI/ · PHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James L Ossowski
Officer — VP Finance & Controller
Period of report
Feb 5, 2016
Accepted (ET)
Feb 9, 2016 · 7:51 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 StockF1 | Feb 5, 2016 | F | 4,734 | $16.3825 | D | 48,320 | D | |
| Common StockF2 | holding | — | — | — | 22,958 | I | Via Michelle L Ossowski Liv Trust | |
| UnitsF3 | holding | — | — | — | 1,655 | I | Via 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were surrendered to issuer to cover tax obligations on common shares on which the restrictions have lapsed.
- F2Mr. Ossowski transferred 20,434 of his directly owned shares of PulteGroup, Inc. common stock to the Michelle L Ossowski Living Trust, for which he is a co-trustee on about February 19, 2015.
- F3Represents 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 3,659.287 shares of PulteGroup, Inc. Common Stock held in the Fund as of 1/08/2016.