SEC Form 4 · accession 0001127602-17-015107

· PHM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Apr 17, 2017

Accepted (ET)

Apr 19, 2017 · 5:53 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 Stock	Apr 17, 2017	M	162,000	$11.445	A	1,211,927	D
Common Stock^F2	Apr 17, 2017	S	162,000	$24.0767	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)
Units^F3	holding	—	—		—	8,360	I	By 401(k) Plan

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	Apr 17, 2017	M	162,000	D	Feb 11, 2012	Feb 11, 2020	Common Stock	162,000	0	D

F1Pursuant to a plan intended to comply with Rule 10b5-1(c).
F2The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.15, 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.
F3Represents 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 18,616.521 shares of PulteGroup, Inc. Common Stock held in the Fund as of April 17, 2017.