SEC Form 4 · accession 0000878560-17-000178
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
Nov 29, 2017
Accepted (ET)
Nov 30, 2017 · 4:40 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 | Nov 29, 2017 | M | 5,512 | $37.00 | A | 39,115 | D | |
| Common StockF2 | Nov 29, 2017 | F | 3,045 | $55.43 | D | 36,070 | 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 | $37.00 | Nov 29, 2017 | M | 16,578 | D | Oct 1, 2015 | Oct 1, 2019 | Common Stock | 5,512 | 0 | D |
Explanation of responses
- F1Shares received in connection with exercise and hold of stock appreciation right expiring on October 1, 2019.
- F2Shares forfeited to Company to satisfy tax withholding relating to exercise and hold of stock appreciation right expiring on October 1, 2019.
- F3Exercise and hold of stock appreciation right expiring on October 1, 2019.