SEC Form 4 · accession 0001127602-16-041452
PULTEGROUP INC/MI/ · PHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Dugas Jr.
Officer — Chief Executive Officer · Director
Period of report
Feb 11, 2016
Accepted (ET)
Feb 16, 2016 · 4:52 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,F2 | Feb 11, 2016 | A | 250,906 | $0.00 | A | 1,474,687 | D | |
| Common StockF3 | Feb 11, 2016 | F | 118,358 | $15.665 | D | 1,356,329 | D | |
| Common Stock | Feb 11, 2016 | A | 162,784 | $0.00 | A | 1,519,113 | 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
No Table II lines on this filing.
Explanation of responses
- F1These shares are fully vested and exercisable.
- F2These shares were granted to settle a stock-settled performance award under the PulteGroup, Inc. 2013 Senior Management Incentive Plan.
- F3These shares were surrendered to issuer to cover tax obligations on common shares granted to settle a stock-settled performance award.
- 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 represent 18,510.795 shares of PulteGroup, Inc. Common Stock held in the Fund as of 2/11/2016.