SEC Form 4 · accession 0000878560-17-000017
CalAtlantic Group, Inc. · CAA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Patrick Babel
Officer — EVP, General Counsel & Sec.
Period of report
Jan 24, 2017
Accepted (ET)
Jan 25, 2017 · 6:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000878560
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 24, 2017 | M | 4,227 | $21.45 | A | 37,207 | D | |
| Common StockF2 | Jan 24, 2017 | F | 2,321 | $35.23 | D | 34,886 | D | |
| Common StockF1 | Jan 24, 2017 | M | 3,129 | $21.45 | A | 38,015 | D | |
| Common StockF2 | Jan 24, 2017 | F | 1,883 | $35.23 | D | 36,132 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF3 | $21.45 | Jan 24, 2017 | M | 10,808 | D | Apr 2, 2013 | Apr 2, 2017 | Common Stock | 4,227 | 0 | D |
| Stock Appreciation Right - Market BasedF3 | $21.45 | Jan 24, 2017 | M | 8,000 | D | Mar 25, 2013 | Apr 2, 2017 | Common Stock | 3,129 | 16,000 | D |
Explanation of responses
- F1Shares received in connection with exercise and hold of stock appreciation right expiring on April 2, 2017.
- F2Shares forfeited to Company to satisfy tax withholding relating to exercise and hold of stock appreciation right expiring on April 2, 2017.
- F3Exercise and hold of stock appreciation right expiring on April 2, 2017.