SEC Form 4 · accession 0001127602-16-058735
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
Jul 25, 2016
Accepted (ET)
Jul 27, 2016 · 5:55 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 StockF1 | Jul 25, 2016 | S | 77,354 | $22.0884 | D | 1,441,759 | D | |
| Common StockF2 | Jul 25, 2016 | S | 83,039 | $21.8925 | D | 1,358,720 | D | |
| Common StockF3 | Jul 25, 2016 | S | 82,722 | $21.9101 | D | 1,275,998 | 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
- F1The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $22.04 to $22.12, 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 withinin the ranges set forth in this footnote.
- F2The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $21.80 to $21.95, 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 $21.80 to $21.98, 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 represented 18,438.630 shares of PulteGroup, Inc. Common Stock held in the Fund at the time of sale.