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HOV

HOVNANIAN ENTERPRISES INC

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5200
SEC CIK
0000357294
Parsed reports
360

Last 12 months

Inside the activity.

0 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202602
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 09, 2020 Filed Jun 11, 2020 20:27 UTC Disposition to issuerClass A Common Stock 319 $27.66 $8,823.54
Disclosure

SEC source: 0001225208-20-008847 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,745

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

Read SEC document
June 09, 2020 Filed Jun 11, 2020 20:27 UTC Disposition to issuerClass A Common Stock 279 $27.66 $7,717.14
Disclosure

SEC source: 0001225208-20-008846 · doc4.xml · nonDerivative · entry 1

COUTTS ROBERT B · CIK 0001193999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,335

F1 · kind: Reflects the withholding of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), for cash to cover the Reporting Person's estimated tax liability in connection with the distribution of shares of Class A Common Stock related to vested restricted stock units. The withholding of shares was approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

Read SEC document
January 13, 2020 Filed Jan 15, 2020 21:36 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
SaleClass A Common Stock 22,000 $22.61 $497,420.00
Disclosure

SEC source: 0001225208-20-000815 · doc4.xml · nonDerivative · entry 1

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of trusts for Lucy K. Kalian's family

Disclosed balance after: 45,789.272

F1 · price: Represents the weighted average sales price for price increments ranging from $22.53 to $22.81. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

F2 · balance_after: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his potential pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of the beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose

F3 · ownership.nature: Held by trusts for the benefit of the family of Lucy K. Kalian, of which the reporting person is a trustee and has a potential remainder interest, including shares held through a limited liability interest in the 2012 L.L.C. (the "2012 LLC").

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January 10, 2020 Filed Jan 11, 2020 00:45 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
Tax withholdingClass B Common Stock · Derivative 1,055 $21.70 $22,893.50
Disclosure

SEC source: 0001225208-20-000723 · doc4.xml · derivative · entry 1

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,738

Underlying: Class A Common Stock · 1,055 shares

Expires not disclosed

F1 · derivative.exercise_price: The Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), is immediately convertible into an equal number of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock")

F1 · derivative.exercise_date: The Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), is immediately convertible into an equal number of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock")

F2 · derivative.expiration_date: No expiration date

F3 · balance_after: Reflects an adjustment of 1 share to the previously reported balance due to rounding following the Issuer's 1-for-25 reverse stock split with respect to the Class B Common Stock that occurred on March 29, 2019

Read SEC document
January 10, 2020 Filed Jan 11, 2020 00:46 UTC
Smith Lucian T.Chief Operating Officer
Tax withholdingClass A Common Stock 413 $21.70 $8,962.10
Disclosure

SEC source: 0001225208-20-000726 · doc4.xml · nonDerivative · entry 1

Smith Lucian T. · CIK 0001689250 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,612

Read SEC document
January 10, 2020 Filed Jan 11, 2020 00:46 UTC
O'Connor Brad GVP & Chief Accounting Officer
Tax withholdingClass A Common Stock 120 $21.70 $2,604.00
Disclosure

SEC source: 0001225208-20-000725 · doc4.xml · nonDerivative · entry 1

O'Connor Brad G · CIK 0001520206 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,739

Read SEC document
January 10, 2020 Filed Jan 11, 2020 00:45 UTC
SORSBY J LARRYDirector · Exec. VP and CFO
Tax withholdingClass A Common Stock 471 $21.70 $10,220.70
Disclosure

SEC source: 0001225208-20-000724 · doc4.xml · nonDerivative · entry 1

SORSBY J LARRY · CIK 0001211054 · Director · Exec. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,924

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 20:11 UTC Disposition to issuerClass A Common Stock 125.512 $22.53 $2,827.79
Disclosure

SEC source: 0001225208-20-000195 · doc4.xml · nonDerivative · entry 2

PAGANO VINCENT JR · CIK 0001563558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,585

Read SEC document
January 01, 2020 Filed Jan 3, 2020 20:11 UTC Exercise / conversionPhantom Stock Units Payout 2020 · Derivative 881.512 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-000195 · doc4.xml · derivative · entry 3

PAGANO VINCENT JR · CIK 0001563558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 881.512 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: These phantom stock units converted into Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), on a one-for-one basis.

F2 · shares: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock that occurred on March 29, 2019.

F3 · derivative.exercise_date: Payout to be made on January 1, 2020, or upon the occurrence of certain other events set forth under the terms of Deferred Compensation Plan. The portion of the phantom stock account attributable to share deferrals was paid out in shares. The portion of the phantom stock account attributable to cash deferrals was paid out in cash.

F3 · derivative.expiration_date: Payout to be made on January 1, 2020, or upon the occurrence of certain other events set forth under the terms of Deferred Compensation Plan. The portion of the phantom stock account attributable to share deferrals was paid out in shares. The portion of the phantom stock account attributable to cash deferrals was paid out in cash.

F2 · derivative.underlying_shares: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock that occurred on March 29, 2019.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 20:11 UTC Exercise / conversionClass A Common Stock 881.512 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-000195 · doc4.xml · nonDerivative · entry 1

PAGANO VINCENT JR · CIK 0001563558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,710.512

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: These phantom stock units converted into Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), on a one-for-one basis.

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:15 UTC
Smith Lucian T.Chief Operating Officer
GrantMarket Share Units (Performance) · Derivative 800 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-015968 · doc4.xml · derivative · entry 1

Smith Lucian T. · CIK 0001689250 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800

Underlying: Class A Common Stock · 800 shares

Expires 2022-06-09

F1 · derivative.exercise_price: Converts to Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), on a one-for-one basis

F2 · date: The date of the transaction represents the date on which the financial performance criteria of previously granted Market Share Units were determined to have been satisfied

F3 · derivative.exercise_date: The Market Share Units vest, if at all and to the extent of specified market performance of the Class A Common Stock over each relevant vesting period, in four equal installments on the following vesting dates: January 1, 2020, June 9, 2020, June 9, 2021 and June 9, 2022

F4 · derivative.underlying_shares: The number of shares of Class A Common Stock that would be received upon vesting of the Market Share Units, if any, may vary from 50% to 175% of the number shown depending on the market performance of the Class A Common Stock over each relevant vesting period

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:15 UTC
SORSBY J LARRYDirector · Exec. VP and CFO
GrantMarket Share Units (Performance) · Derivative 1,700 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-015967 · doc4.xml · derivative · entry 1

SORSBY J LARRY · CIK 0001211054 · Director · Exec. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Class A Common Stock · 1,700 shares

Expires 2022-06-09

F1 · derivative.exercise_price: Converts to Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), on a one-for-one basis

F2 · date: The date of the transaction represents the date on which the financial performance criteria of previously granted Market Share Units were determined to have been satisfied

F3 · derivative.exercise_date: The Market Share Units vest, if at all and to the extent of specified market performance of the Class A Common Stock over each relevant vesting period, in four equal installments on the following vesting dates: January 1, 2020, June 9, 2020, June 9, 2021 and June 9, 2022

F4 · derivative.underlying_shares: The number of shares of Class A Common Stock that would be received upon vesting of the Market Share Units, if any, may vary from 50% to 175% of the number shown depending on the market performance of the Class A Common Stock over each relevant vesting period

Read SEC document
December 16, 2019 Filed Dec 18, 2019 22:15 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GrantMarket Share Units (Performance) · Derivative 6,000 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-015966 · doc4.xml · derivative · entry 1

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Class A Common Stock · 6,000 shares

Expires 2022-06-09

F1 · derivative.exercise_price: Shares of Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), received upon vesting are immediately convertible into Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), on a one-for-one basis

F2 · date: The date of the transaction represents the date on which the financial performance criteria of previously granted Market Share Units were determined to have been satisfied

F3 · derivative.exercise_date: The Market Share Units vest, if at all and to the extent of specified market performance of the Class A Common Stock over each relevant vesting period, in four equal installments on the following vesting dates: January 1, 2020, June 9, 2020, June 9, 2021 and June 9, 2022

F4 · derivative.underlying: Upon, and to the extent of, vesting of the Market Share Units, shares of Class B Common Stock would be received. Shares of Class B Common Stock are immediately convertible into an equal number of shares of Class A Common Stock.

F5 · derivative.underlying_shares: The number of shares of Class B Common Stock that would be received upon vesting of the Market Share Units, if any, may vary from 50% to 175% of the number shown depending on the market performance of the Class A Common Stock over each relevant vesting period

Read SEC document
August 05, 2019 Filed Aug 7, 2019 20:37 UTC
Smith Lucian T.Chief Operating Officer
Tax withholdingClass A Common Stock 712 $5.45 $3,880.40
Disclosure

SEC source: 0001225208-19-010989 · doc4.xml · nonDerivative · entry 1

Smith Lucian T. · CIK 0001689250 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,025

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:51 UTC GrantClass A Common Stock 16,484 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-009395 · doc4.xml · nonDerivative · entry 1

PAGANO VINCENT JR · CIK 0001563558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,829

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:50 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GrantOption to purchase Class B Common Stock · Derivative 30,000 $0.00 Strike: $9.81 $0.00
Disclosure

SEC source: 0001225208-19-009388 · doc4.xml · derivative · entry 2

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Class A Common Stock · 30,000 shares

Expires 2029-06-13

F7 · price: N/A

F5 · derivative.exercise_date: The option vests in four equal annual installments beginning on June 14, 2021

F6 · derivative.underlying: Upon exercise of the option, shares of Class B Common Stock would be purchased. Shares of Class B Common Stock are immediately convertible into an equal number of shares of Class A Common Stock.

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:50 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GrantMarket Share Units · Derivative 36,000 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-009388 · doc4.xml · derivative · entry 1

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Class A Common Stock · 36,000 shares

Expires 2024-06-14

F1 · derivative.exercise_price: Shares of Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), received upon vesting convert to Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") on a one-for-one basis

F2 · derivative.exercise_date: The Market Share Units vest, if at all and to the extent of specified market performance of the Class A Common Stock over each relevant vesting period, in four equal installments beginning on June 14, 2021

F3 · derivative.underlying: Upon, and to the extent of, vesting of the Market Share Units, shares of Class B Common Stock would be received. Shares of Class B Common Stock are immediately convertible into an equal number of shares of Class A Common Stock.

F4 · derivative.underlying_shares: The number of shares of Class B Common Stock that would be received upon vesting of the Market Share Units, if any, may vary from 50% to 200% of the number shown depending on the market performance of the Class A Common Stock over each relevant vesting period

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:52 UTC GrantClass A Common Stock 16,484 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-009397 · doc4.xml · nonDerivative · entry 1

WEINROTH STEPHEN D · CIK 0001134122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,254

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:51 UTC GrantClass A Common Stock 16,484 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-009396 · doc4.xml · nonDerivative · entry 1

Sellers Robin Stone · CIK 0001744557 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,014

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:51 UTC GrantClass A Common Stock 18,838 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-009394 · doc4.xml · nonDerivative · entry 1

MARENGI JOSEPH A · CIK 0001077821 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,677

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:51 UTC GrantClass A Common Stock 18,838 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-009393 · doc4.xml · nonDerivative · entry 1

KANGAS EDWARD A · CIK 0001211047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,064

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:51 UTC GrantClass A Common Stock 16,484 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-009392 · doc4.xml · nonDerivative · entry 1

COUTTS ROBERT B · CIK 0001193999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,614

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:50 UTC
O'Connor Brad GVP & Chief Accounting Officer
GrantEmployee Stock Option (right to buy) · Derivative 1,200 $0.00 Strike: $7.85 $0.00
Disclosure

SEC source: 0001225208-19-009391 · doc4.xml · derivative · entry 1

O'Connor Brad G · CIK 0001520206 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,200

Underlying: Class A Common Stock · 1,200 shares

Expires 2029-06-13

F2 · price: N/A

F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on June 14, 2021

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:50 UTC
Smith Lucian T.Chief Operating Officer
GrantMarket Share Units · Derivative 10,200 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-009390 · doc4.xml · derivative · entry 2

Smith Lucian T. · CIK 0001689250 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,200

Underlying: Class A Common Stock · 10,200 shares

Expires 2024-06-14

F3 · derivative.exercise_price: Converts to Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), on a one-for-one basis

F4 · derivative.exercise_date: The Market Share Units vest, if at all and to the extent of specified market performance of the Class A Common Stock over each relevant vesting period, in four equal installments beginning on June 14, 2021

F5 · derivative.underlying_shares: The number of shares of Class A Common Stock that would be received upon vesting of the Market Share Units, if any, may vary from 50% to 200% of the number shown depending on the market performance of the Class A Common Stock over each relevant vesting period

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:50 UTC
Smith Lucian T.Chief Operating Officer
GrantEmployee Stock Option (right to buy) · Derivative 30,000 $0.00 Strike: $9.81 $0.00
Disclosure

SEC source: 0001225208-19-009390 · doc4.xml · derivative · entry 1

Smith Lucian T. · CIK 0001689250 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Class A Common Stock · 30,000 shares

Expires 2029-06-13

F2 · price: N/A

F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on June 14, 2021

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:50 UTC
SORSBY J LARRYDirector · Exec. VP and CFO
GrantMarket Share Units · Derivative 10,200 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-009389 · doc4.xml · derivative · entry 2

SORSBY J LARRY · CIK 0001211054 · Director · Exec. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,200

Underlying: Class A Common Stock · 10,200 shares

Expires 2024-06-14

F3 · derivative.exercise_price: Converts to Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), on a one-for-one basis

F4 · derivative.exercise_date: The Market Share Units vest, if at all and to the extent of specified market performance of the Class A Common Stock over each relevant vesting period, in four equal installments beginning on June 14, 2021

F5 · derivative.underlying_shares: The number of shares of Class A Common Stock that would be received upon vesting of the Market Share Units, if any, may vary from 50% to 200% of the number shown depending on the market performance of the Class A Common Stock over each relevant vesting period

Read SEC document
June 14, 2019 Filed Jun 18, 2019 20:50 UTC
SORSBY J LARRYDirector · Exec. VP and CFO
GrantEmployee Stock Option (right to buy) · Derivative 30,000 $0.00 Strike: $9.81 $0.00
Disclosure

SEC source: 0001225208-19-009389 · doc4.xml · derivative · entry 1

SORSBY J LARRY · CIK 0001211054 · Director · Exec. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Class A Common Stock · 30,000 shares

Expires 2029-06-13

F2 · price: N/A

F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on June 14, 2021

Read SEC document
June 13, 2019 Filed Jun 14, 2019 18:14 UTC
Smith Lucian T.Chief Operating Officer
Tax withholdingClass A Common Stock 56 $8.19 $458.64
Disclosure

SEC source: 0001225208-19-009254 · doc4.xml · nonDerivative · entry 2

Smith Lucian T. · CIK 0001689250 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,737

Read SEC document
June 12, 2019 Filed Jun 14, 2019 18:14 UTC
Smith Lucian T.Chief Operating Officer
Tax withholdingClass A Common Stock 56 $7.89 $441.84
Disclosure

SEC source: 0001225208-19-009254 · doc4.xml · nonDerivative · entry 1

Smith Lucian T. · CIK 0001689250 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,793

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

Read SEC document
June 10, 2019 Filed Jun 12, 2019 20:05 UTC
O'Connor Brad GVP & Chief Accounting Officer
Tax withholdingClass A Common Stock 17 $8.80 $149.60
Disclosure

SEC source: 0001225208-19-009155 · doc4.xml · nonDerivative · entry 1

O'Connor Brad G · CIK 0001520206 · VP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,859

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock"), that occurred on March 29, 2019.

Read SEC document
April 30, 2019 Filed May 2, 2019 22:29 UTC OtherClass B Common Stock · Derivative 28,928 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-011901 · doc4.xml · derivative · entry 2

Hovnanian Family 2012 L.L.C. · CIK 0001565239 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,407

Underlying: Class A Common Stock · 28,928 shares

Expires not disclosed

F3 · derivative.exercise_price: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock.

F1 · kind: Reflects an exchange of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") held by the Ara K. Hovnanian 2012 Trust for Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock") held by the Hovnanian Family 2012 L.L.C.

F1 · price: Reflects an exchange of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") held by the Ara K. Hovnanian 2012 Trust for Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock") held by the Hovnanian Family 2012 L.L.C.

F3 · derivative.exercise_date: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock.

F4 · derivative.expiration_date: No expiration date.

Read SEC document
April 30, 2019 Filed May 2, 2019 22:29 UTC OtherClass A Common Stock 28,928 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-011901 · doc4.xml · nonDerivative · entry 1

Hovnanian Family 2012 L.L.C. · CIK 0001565239 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,761

F1 · kind: Reflects an exchange of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") held by the Ara K. Hovnanian 2012 Trust for Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock") held by the Hovnanian Family 2012 L.L.C.

F1 · price: Reflects an exchange of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") held by the Ara K. Hovnanian 2012 Trust for Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock") held by the Hovnanian Family 2012 L.L.C.

F2 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock and Class B Common Stock that occurred on March 29, 2019.

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
OtherClass B Common Stock · Derivative 28,928 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · derivative · entry 18

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of trust for Reporting Person's family

Disclosed balance after: 163,220.16

Underlying: Class A Common Stock · 28,928 shares

Expires not disclosed

F15 · derivative.exercise_price: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F4 · kind: Reflects an exchange of Class A Common Stock held by the Ara K. Hovnanian 2012 Trust for Class B Common Stock held by the Hovnanian Family 2012 L.L.C.

F4 · price: Reflects an exchange of Class A Common Stock held by the Ara K. Hovnanian 2012 Trust for Class B Common Stock held by the Hovnanian Family 2012 L.L.C.

F15 · derivative.exercise_date: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F16 · derivative.expiration_date: No expiration date

F3 · ownership.nature: Held by Ara K. Hovnanian 2012 Trust, of which the reporting person is trustee, including shares held through a limited liability company interest in the 2012 L.L.C.

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GiftClass B Common Stock · Derivative 103,225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · derivative · entry 17

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of trust for Reporting Person's family

Disclosed balance after: 134,292.16

Underlying: Class A Common Stock · 103,225 shares

Expires not disclosed

F15 · derivative.exercise_price: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F15 · derivative.exercise_date: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F16 · derivative.expiration_date: No expiration date

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") and Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), that occurred on March 29, 2019.

F3 · ownership.nature: Held by Ara K. Hovnanian 2012 Trust, of which the reporting person is trustee, including shares held through a limited liability company interest in the 2012 L.L.C.

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GiftClass B Common Stock · Derivative 88,175 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · derivative · entry 16

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of the 2012 Marital Trust

Disclosed balance after: 0

Underlying: Class A Common Stock · 88,175 shares

Expires not disclosed

F15 · derivative.exercise_price: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F15 · derivative.exercise_date: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F16 · derivative.expiration_date: No expiration date

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") and Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), that occurred on March 29, 2019.

F2 · ownership.nature: Held by the 2012 Marital Trust, of which the reporting person is a trustee and has a potential remainder interest, through a limited liability company interest in the Hovnanian Family 2012 L.L.C. (the "2012 LLC")

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GiftClass A Common Stock 58,733 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · nonDerivative · entry 7

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of trusts for Sossie K. Najarian's family

Disclosed balance after: 67,789.272

F5 · balance_after: This amount has been adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock and Class B Common Stock that occurred on March 29, 2019. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his potential pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of the beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F9 · ownership.nature: Held by trusts for the benefit of the family of Sossie K. Najarian, of which the reporting person is a trustee and has a potential remainder interest, including shares held through a limited liability interest in the 2012 LLC

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GiftClass A Common Stock 58,733 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · nonDerivative · entry 6

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of trusts for Nadia K. Rodriguez's family

Disclosed balance after: 67,719.272

F5 · balance_after: This amount has been adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock and Class B Common Stock that occurred on March 29, 2019. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his potential pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of the beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F8 · ownership.nature: Held by trusts for the benefit of the family of Nadia K. Rodriguez, of which the reporting person is a trustee and has a potential remainder interest, including shares held through a limited liability interest in the 2012 LLC

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GiftClass A Common Stock 58,733 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · nonDerivative · entry 5

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of trusts for Lucy K. Kalian's family

Disclosed balance after: 67,789.272

F5 · balance_after: This amount has been adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock and Class B Common Stock that occurred on March 29, 2019. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his potential pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of the beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F7 · ownership.nature: Held by trusts for the benefit of the family of Lucy K. Kalian, of which the reporting person is a trustee and has a potential remainder interest, including shares held through a limited liability interest in the 2012 LLC

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GiftClass A Common Stock 58,733 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · nonDerivative · entry 4

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of trusts for Esther K. Barry's family

Disclosed balance after: 67,729.272

F5 · balance_after: This amount has been adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock and Class B Common Stock that occurred on March 29, 2019. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his potential pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of the beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F6 · ownership.nature: Held by trusts for the benefit of the family of Esther K. Barry, of which the reporting person is a trustee and has a potential remainder interest, including shares held through a limited liability interest in the 2012 LLC

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
OtherClass A Common Stock 28,928 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · nonDerivative · entry 3

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of trust for Reporting Person's family

Disclosed balance after: 7,766.792

F4 · kind: Reflects an exchange of Class A Common Stock held by the Ara K. Hovnanian 2012 Trust for Class B Common Stock held by the Hovnanian Family 2012 L.L.C.

F4 · price: Reflects an exchange of Class A Common Stock held by the Ara K. Hovnanian 2012 Trust for Class B Common Stock held by the Hovnanian Family 2012 L.L.C.

F3 · ownership.nature: Held by Ara K. Hovnanian 2012 Trust, of which the reporting person is trustee, including shares held through a limited liability company interest in the 2012 L.L.C.

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GiftClass A Common Stock 28,928 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · nonDerivative · entry 2

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of trust for Reporting Person's family

Disclosed balance after: 36,694.792

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") and Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), that occurred on March 29, 2019.

F3 · ownership.nature: Held by Ara K. Hovnanian 2012 Trust, of which the reporting person is trustee, including shares held through a limited liability company interest in the 2012 L.L.C.

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
GiftClass A Common Stock 123,005 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007626 · doc4.xml · nonDerivative · entry 1

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held as trustee of the 2012 Marital Trust

Disclosed balance after: 0

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") and Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), that occurred on March 29, 2019.

F2 · ownership.nature: Held by the 2012 Marital Trust, of which the reporting person is a trustee and has a potential remainder interest, through a limited liability company interest in the Hovnanian Family 2012 L.L.C. (the "2012 LLC")

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN SIRWARTMember of a 10% Owner Group
GiftClass B Common Stock · Derivative 103,225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007629 · doc4.xml · derivative · entry 4

HOVNANIAN SIRWART · CIK 0001219411 · Member of a 10% Owner Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 103,225 shares

Expires not disclosed

F2 · derivative.exercise_price: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F2 · derivative.exercise_date: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F3 · derivative.expiration_date: No expiration date

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN SIRWARTMember of a 10% Owner Group
GiftClass B Common Stock · Derivative 103,225 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007629 · doc4.xml · derivative · entry 3

HOVNANIAN SIRWART · CIK 0001219411 · Member of a 10% Owner Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,225

Underlying: Class A Common Stock · 103,225 shares

Expires not disclosed

F2 · derivative.exercise_price: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F2 · derivative.exercise_date: The Class B Common Stock is immediately convertible into an equal number of shares of Class A Common Stock

F3 · derivative.expiration_date: No expiration date

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN SIRWARTMember of a 10% Owner Group
GiftClass A Common Stock 263,860 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007629 · doc4.xml · nonDerivative · entry 2

HOVNANIAN SIRWART · CIK 0001219411 · Member of a 10% Owner Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
April 30, 2019 Filed May 2, 2019 22:17 UTC
HOVNANIAN SIRWARTMember of a 10% Owner Group
GiftClass A Common Stock 123,005 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-007629 · doc4.xml · nonDerivative · entry 1

HOVNANIAN SIRWART · CIK 0001219411 · Member of a 10% Owner Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,860

F1 · balance_after: Adjusted for the Issuer's 1-for-25 reverse stock split with respect to the Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock") and Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), that occurred on March 29, 2019.

Read SEC document
January 11, 2019 Filed Jan 14, 2019 21:35 UTC GrantPhantom Stock Units Payout 2022 · Derivative 33,950 $0.81 $27,499.50
Disclosure

SEC source: 0001225208-19-000831 · doc4.xml · derivative · entry 1

PAGANO VINCENT JR · CIK 0001563558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,938

Underlying: Class A Common Stock · 33,950 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1

F2 · derivative.exercise_date: Payout to be made on January 1, 2022, or upon the occurrence of certain other events set forth under the terms of the Deferred Compensation Plan.

F2 · derivative.expiration_date: Payout to be made on January 1, 2022, or upon the occurrence of certain other events set forth under the terms of the Deferred Compensation Plan.

Read SEC document
January 11, 2019 Filed Jan 14, 2019 21:35 UTC GrantClass A Common Stock 64,814 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-000830 · doc4.xml · nonDerivative · entry 1

COUTTS ROBERT B · CIK 0001193999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 478,244

Read SEC document
January 02, 2019 Filed Jan 3, 2019 22:32 UTC
HOVNANIAN ARA KDirector · Chairman of Bd., Pres. & CEO · 10% owner
Tax withholdingClass B Common Stock · Derivative 26,218 $0.76 $19,925.68
Disclosure

SEC source: 0001225208-19-000484 · doc4.xml · derivative · entry 5

HOVNANIAN ARA K · CIK 0000938549 · Director · Chairman of Bd., Pres. & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,394,853

Underlying: Class A Common Stock · 26,218 shares

Expires not disclosed

F1 · derivative.exercise_price: The Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), is immediately convertible into an equal number of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock")

F1 · derivative.exercise_date: The Class B Common Stock, par value $.01 per share, non-cumulative ("Class B Common Stock"), is immediately convertible into an equal number of shares of Class A Common Stock, par value $.01 per share, non-cumulative ("Class A Common Stock")

F3 · derivative.expiration_date: No expiration date

Read SEC document
January 02, 2019 Filed Jan 3, 2019 22:32 UTC
SORSBY J LARRYDirector · Exec. VP and CFO
Tax withholdingClass A Common Stock 3,964 $0.76 $3,012.64
Disclosure

SEC source: 0001225208-19-000477 · doc4.xml · nonDerivative · entry 3

SORSBY J LARRY · CIK 0001211054 · Director · Exec. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 509,881

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.