SEC Form 4 · accession 0001127602-18-005034
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
Feb 7, 2018
Accepted (ET)
Feb 9, 2018 · 6:43 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,F2 | Feb 7, 2018 | A | 12,717 | $0.00 | A | 302,248 | D | |
| Common StockF3 | Feb 7, 2018 | F | 3,904 | $30.46 | D | 298,344 | D | |
| Common Stock | Feb 7, 2018 | A | 26,264 | $0.00 | A | 324,608 | D | |
| UnitsF4,F5 | holding | — | — | — | 6,213 | I | By 401(k) plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These share were granted to settle a stock-settled performance award under the PulteGroup, Inc. 2013 Senior Management Incentive Plan.
- F2These shares are fully vested and exercisable.
- F3These shares were surrendered to issuer to cover tax obligations on common shares granted to settle a stock-settled performance award.
- F4On July 3, 2017, .070 units of the PulteGroup, Inc. Stock Fund of the PulteGroup, Inc. 401(k) Plan ("Plan") were sold to cover the fees on the Plan. On October 2, 2017, .065 units of the PulteGroup, Inc. Stock Fund of the Plan were sold to cover the fees on the Plan. On January 2, 2018, .059 units of the PulteGroup, Inc. Stock Fund of the Plan were sold to cover the fees on the Plan.
- F5Represents 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 13,867.049 shares of PulteGroup, Inc. Common Stock held in the Fund as of February 6, 2018.