SEC Form 4 · accession 0001127602-17-003287
PULTEGROUP INC/MI/ · PHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harmon D Smith
Officer — EVP & Chief Operating Officer
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 12:31 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 | Jan 30, 2017 | S | 48,010 | $21.4042 | D | 249,547 | D | |
| UnitsF2 | holding | — | — | — | 6,213 | 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 $21.40 to $21.425, 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.
- 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 represented 13,848.907 shares of PulteGroup, Inc. Common Stock held in the Fund as of January 30, 2017.