SEC Form 4 · accession 0000878560-17-000033
CalAtlantic Group, Inc. · CAA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wendy L Marlett
Officer — CMO & EVP Sales & Marketing
Period of report
Mar 3, 2017
Accepted (ET)
Mar 6, 2017 · 6:39 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 | Mar 3, 2017 | M | 5,498 | $21.45 | A | 45,100 | D | |
| Common StockF2,F3 | Mar 3, 2017 | F | 3,039 | $36.47 | D | 42,061 | D | |
| Common StockF1 | Mar 3, 2017 | M | 3,294 | $21.45 | A | 45,355 | D | |
| Common StockF3 | Mar 3, 2017 | F | 1,820 | $36.47 | D | 43,535 | 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 RightF4 | $21.45 | Mar 3, 2017 | M | 13,352 | D | Apr 2, 2013 | Apr 2, 2017 | Common Stock | 5,498 | 0 | D |
| Stock Appreciation Right - Market BasedF4 | $21.45 | Mar 3, 2017 | M | 8,000 | D | Mar 25, 2013 | Apr 2, 2017 | Common Stock | 3,294 | 16,000 | D |
Explanation of responses
- F1Shares received in connection with exercise and hold of stock appreciation right expiring on April 2, 2017.
- F2Transaction executed pursuant to a pre-existing 10b5-1 plan.
- F3Shares forfeited to Company to satisfy tax withholding relating to exercise and hold of stock appreciation right expiring on April 2, 2017.
- F4Exercise and hold of stock appreciation right expiring on April 2, 2017.