SEC Form 4 · accession 0001127602-17-012345
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
Mar 16, 2017
Accepted (ET)
Mar 20, 2017 · 2:50 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 | Mar 16, 2017 | M | 3,000 | $11.44 | A | 1,052,927 | D | |
| Common StockF3 | Mar 16, 2017 | S | 3,000 | $24.002 | D | 1,049,927 | 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
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $11.445 | Mar 16, 2017 | M | 3,000 | D | Feb 11, 2012 | Feb 11, 2020 | Common Stock | 3,000 | 162,000 | D |
Explanation of responses
- F1Fully vested and exercisable.
- F2Pursuant to a plan intended to comply with Rule 10b5-1(c).
- F3The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.01, 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 represents 18,635.164 shares of PulteGroup, Inc. Common Stock held in the Fund as of March 10, 2017.