Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PULTEGROUP INC/MI/PHM · Entity 3207 | Director | April 17, 2017 | April 19, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PULTEGROUP INC/MI/
Report date April 17, 2017 · Filed April 19, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,049,927 |
Ending reported balance
After 2017-04-17 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-04-17 · Exercise / conversion · Acquired 162,000 · Balance 1,211,927 Row 2 · 2017-04-17 · Sale · Disposed 162,000 · Balance 1,049,927 F1: Pursuant to a plan intended to comply with Rule 10b5-1(c). F2: The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.15, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.45 · Expires 2020-02-11 | Direct | 0 |
Reported balance
After 2017-04-17 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-04-17 · Exercise / conversion · Disposed 162,000 · Balance 0 |
| Common StockSEC Table I · non-derivative | IndirectSusan Dugas Trust (spouse) | 40,612 |
Reported balance
Holding disclosure · report date 2017-04-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 40,612 |
| Common StockSEC Table I · non-derivative | IndirectSusan Dugas Bene IRA (Rita M Ochs-DECD) | 206 |
Reported balance
Holding disclosure · report date 2017-04-17 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 206 |
| UnitsSEC Table I · non-derivative | IndirectBy 401(k) Plan | 8,360.065 |
Reported balance
Holding disclosure · report date 2017-04-17 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 8,360.065 F3: Represents units of the PulteGroup, Inc. Stock Fund (the "Fund") of the PulteGroup, Inc. 401(k) Plan. The Fund consists of cash and Common Stock in amounts that vary from time to time. The reporting person's units represented 18,616.521 shares of PulteGroup, Inc. Common Stock held in the Fund as of April 17, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to a plan intended to comply with Rule 10b5-1(c).
F2: The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.15, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
F3: Represents units of the PulteGroup, Inc. Stock Fund (the "Fund") of the PulteGroup, Inc. 401(k) Plan. The Fund consists of cash and Common Stock in amounts that vary from time to time. The reporting person's units represented 18,616.521 shares of PulteGroup, Inc. Common Stock held in the Fund as of April 17, 2017.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 17, 2017 Filed Apr 19, 2017 21:53 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 162,000 | $0.00 Strike: $11.45 | $0.00 |
DisclosureSEC source: 0001127602-17-015107 · form4.xml · derivative · entry 6 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 162,000 shares Expires 2020-02-11 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. Read SEC document |
| April 17, 2017 Filed Apr 19, 2017 21:53 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | SaleCommon Stock | 162,000 | $24.08 | $3,900,425.40 |
DisclosureSEC source: 0001127602-17-015107 · form4.xml · nonDerivative · entry 2 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,049,927 F1 · kind: Pursuant to a plan intended to comply with Rule 10b5-1(c). F2 · price: The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.15, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| April 17, 2017 Filed Apr 19, 2017 21:53 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | Exercise / conversionCommon Stock | 162,000 | $11.45 | $1,854,090.00 |
DisclosureSEC source: 0001127602-17-015107 · form4.xml · nonDerivative · entry 1 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,211,927 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. Read SEC document |
| March 16, 2017 Filed Mar 20, 2017 18:50 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 3,000 | $0.00 Strike: $11.45 | $0.00 |
DisclosureSEC source: 0001127602-17-012345 · form4.xml · derivative · entry 6 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,000 Underlying: Common Stock · 3,000 shares Expires 2020-02-11 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. Read SEC document |
| March 16, 2017 Filed Mar 20, 2017 18:50 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | SaleCommon Stock | 3,000 | $24.00 | $72,006.00 |
DisclosureSEC source: 0001127602-17-012345 · form4.xml · nonDerivative · entry 2 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,049,927 F2 · kind: Pursuant to a plan intended to comply with Rule 10b5-1(c). F3 · price: The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.01, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| March 16, 2017 Filed Mar 20, 2017 18:50 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | Exercise / conversionCommon Stock | 3,000 | $11.44 | $34,320.00 |
DisclosureSEC source: 0001127602-17-012345 · form4.xml · nonDerivative · entry 1 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,052,927 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 · shares: Fully vested and exercisable. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 23:21 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 165,000 | $0.00 Strike: $11.45 | $0.00 |
DisclosureSEC source: 0001127602-17-011278 · form4.xml · derivative · entry 6 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,000 Underlying: Common Stock · 165,000 shares Expires 2020-02-11 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. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 23:21 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | SaleCommon Stock | 165,000 | $23.10 | $3,812,110.50 |
DisclosureSEC source: 0001127602-17-011278 · form4.xml · nonDerivative · entry 2 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,049,927 F2 · kind: Pursuant to a plan intended to comply with Rule 10b5-1(c). F3 · price: The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $23.00 to $23.25, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 23:21 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | Exercise / conversionCommon Stock | 165,000 | $11.45 | $1,888,425.00 |
DisclosureSEC source: 0001127602-17-011278 · form4.xml · nonDerivative · entry 1 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,214,927 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 · shares: Fully vested and exercisable. Read SEC document |
| February 09, 2017 Filed Feb 13, 2017 23:37 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | GrantCommon Stock | 119,775 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-005588 · form4.xml · nonDerivative · entry 3 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,049,721 Read SEC document |
| February 09, 2017 Filed Feb 13, 2017 23:37 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | Tax withholdingCommon Stock | 44,160 | $21.29 | $940,166.40 |
DisclosureSEC source: 0001127602-17-005588 · form4.xml · nonDerivative · entry 2 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 930,152 F3 · shares: These shares were surrendered to issuer to cover tax obligations on common shares granted to settle a stock-settled performance award. Read SEC document |
| February 09, 2017 Filed Feb 13, 2017 23:37 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | GrantCommon Stock | 92,526 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-005588 · form4.xml · nonDerivative · entry 1 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 974,312 F1 · shares: These shares are fully vested and exercisable. F2 · shares: These shares were granted to settle a stock-settled performance award under the PulteGroup, Inc. 2013 Senior Management Incentive Plan. Read SEC document |
| February 03, 2017 Filed Feb 7, 2017 20:58 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | Tax withholdingCommon Stock | 52,990 | $21.37 | $1,132,131.35 |
DisclosureSEC source: 0001127602-17-004332 · form4.xml · nonDerivative · entry 1 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 881,786 F1 · shares: These shares were surrendered to issuer to cover tax obligations on common shares on which the restrictions have lapsed. Read SEC document |
| January 26, 2017 Filed Jan 26, 2017 23:22 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | SaleCommon Stock | 80,893 | $21.50 | $1,739,199.50 |
DisclosureSEC source: 0001127602-17-002516 · form4.xml · nonDerivative · entry 6 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 996,747 F1 · kind: Pursuant to a plan intended to comply with Rule 10b5-1(c). Read SEC document |
| January 26, 2017 Filed Jan 26, 2017 23:22 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | SaleCommon Stock | 68,273 | $21.05 | $1,437,146.65 |
DisclosureSEC source: 0001127602-17-002516 · form4.xml · nonDerivative · entry 5 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,077,640 F1 · kind: Pursuant to a plan intended to comply with Rule 10b5-1(c). Read SEC document |
| January 25, 2017 Filed Jan 26, 2017 23:22 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | SaleCommon Stock | 70,000 | $20.70 | $1,449,000.00 |
DisclosureSEC source: 0001127602-17-002516 · form4.xml · nonDerivative · entry 4 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,145,913 F1 · kind: Pursuant to a plan intended to comply with Rule 10b5-1(c). Read SEC document |
| January 25, 2017 Filed Jan 26, 2017 23:22 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | SaleCommon Stock | 61,971 | $20.36 | $1,261,729.56 |
DisclosureSEC source: 0001127602-17-002516 · form4.xml · nonDerivative · entry 3 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,153,942 F1 · kind: Pursuant to a plan intended to comply with Rule 10b5-1(c). Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 23:22 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | SaleCommon Stock | 435 | $20.35 | $8,852.25 |
DisclosureSEC source: 0001127602-17-002516 · form4.xml · nonDerivative · entry 2 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,215,913 F1 · kind: Pursuant to a plan intended to comply with Rule 10b5-1(c). Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 23:22 UTC | PULTEGROUP INC/MI/ PHM · Entity 3207 | SaleCommon Stock | 59,650 | $20.00 | $1,193,000.00 |
DisclosureSEC source: 0001127602-17-002516 · form4.xml · nonDerivative · entry 1 DUGAS RICHARD J JR · CIK 0001231238 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,216,348 F1 · kind: Pursuant to a plan intended to comply with Rule 10b5-1(c). 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.