SEC Form 4 · accession 0001127602-16-041490
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 11, 2016
Accepted (ET)
Feb 16, 2016 · 5:16 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 | 19,515 | $0.00 | A | 67,835 | D | |
| Common StockF3 | Feb 11, 2016 | F | 6,335 | $15.665 | D | 61,500 | D | |
| Common Stock | Feb 11, 2016 | A | 12,768 | $0.00 | A | 74,267 | D | |
| Common Stock | holding | — | — | — | 22,958 | I | Via Michelle L Ossowski Liv Trust | |
| UnitsF4 | holding | — | — | — | 1,655 | I | Via 401(k) |
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 13,756.421 shares of PulteGroup, Inc. Common Stock held in the Fund as of 2/11/2016.