SEC Form 4 · accession 0001127602-17-002516
PULTEGROUP INC/MI/ · PHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Dugas Jr.
Director
Period of report
Jan 24, 2017
Accepted (ET)
Jan 26, 2017 · 6:22 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 Stock | Jan 24, 2017 | S | 59,650 | $20.00 | D | 1,216,348 | D | |
| Common Stock | Jan 24, 2017 | S | 435 | $20.35 | D | 1,215,913 | D | |
| Common Stock | Jan 25, 2017 | S | 61,971 | $20.36 | D | 1,153,942 | D | |
| Common Stock | Jan 25, 2017 | S | 70,000 | $20.70 | D | 1,145,913 | D | |
| Common Stock | Jan 26, 2017 | S | 68,273 | $21.05 | D | 1,077,640 | D | |
| Common Stock | Jan 26, 2017 | S | 80,893 | $21.50 | D | 996,747 | D | |
| Common Stock | holding | — | — | — | 40,612 | I | Susan Dugas Trust (spouse) | |
| Common Stock | holding | — | — | — | 206 | I | Susan Dugas Bene IRA (Rita M Ochs-DECD) | |
| UnitsF2 | holding | — | — | — | 8,360 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to a plan intended to comply with Rule 10b5-1(c).
- F2Represents 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 18,668.346 shares of PulteGroup, Inc. Common Stock held in the Fund as of 1/24/2017.