SEC Form 4 · accession 0000878560-18-000030
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 22, 2018
Accepted (ET)
Jan 22, 2018 · 7:08 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 22, 2018 | M | 3,279 | $44.55 | A | 43,809 | D | |
| Common StockF2 | Jan 22, 2018 | F | 1,134 | $65.35 | D | 42,675 | 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 | $44.55 | Jan 22, 2018 | M | 10,658 | D | Apr 1, 2016 | Apr 1, 2020 | Common Stock | 3,279 | 5,329 | D |
Explanation of responses
- F1Shares received in connection with exercise and hold of stock appreciation right expiring on April 1, 2020.
- F2Shares forfeited to Company to satisfy tax withholding relating to exercise and hold of stock appreciation right expiring on April 1, 2020.
- F3Exercise and hold of stock appreciation right expiring on April 1, 2020.