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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 31.8364 | 08/18/2009 | D | 6,266 | (4) | 05/14/2010 | Common Stock | 6,266 | (4) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 45.24 | 08/18/2009 | D | 3,775 | (5) | 05/14/2011 | Common Stock | 3,775 | (5) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 57.36 | 08/18/2009 | D | 2,840 | (6) | 05/12/2012 | Common Stock | 2,840 | (6) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 47.75 | 08/18/2009 | D | 4,976 | (7) | 07/13/2013 | Common Stock | 4,976 | (7) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 38.54 | 08/18/2009 | D | 6,822 | (8) | 07/27/2014 | Common Stock | 6,822 | (8) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 14.63 | 08/18/2009 | D | 17,241 | (9) | 07/01/2015 | Common Stock | 17,241 | (9) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
POSES FREDERIC M 7 HUBERT STREET - PHA NEW YORK, NY 10013 |
X |
James R. Peacock III as attorney-in-fact for Frederic M. Poses | 08/20/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Disposed of pursuant to an Agreement and Plan of Merger dated as of April 7, 2009 between Centex Corporation and Pulte Homes, Inc. ("Merger Agreement") in exchange for a restricted stock unit covering 8,456 shares of Pulte common stock to be settled on August 6, 2012. |
(2) | Disposed of pursuant to the Merger Agreement in exchange for 17,394 shares of Pulte common stock owned directly. |
(3) | On the merger effective date, shares of Pulte common stock had a market value of $12.33 per share. |
(4) | This option, which was fully vested, was assumed by Pulte Homes, Inc. in the merger and replaced with an option to purchase 6,109 shares of Pulte common stock for $32.66 per share. |
(5) | This option, which was fully vested, was assumed by Pulte Homes, Inc. in the merger and replaced with an option to purchase 3,680 shares of Pulte common stock for $46.40 per share. |
(6) | This option, which was fully vested, was assumed by Pulte Homes, Inc. in the merger and replaced with an option to purchase 2,769 shares of Pulte common stock for $58.84 per share. |
(7) | This option, which was fully vested, was assumed by Pulte Homes, Inc. in the merger and replaced with an option to purchase 4,851 shares of Pulte common stock for $48.98 per share. |
(8) | This option, which was fully vested, was assumed by Pulte Homes, Inc. in the merger and replaced with an option to purchase 6,651 shares of Pulte common stock for $39.53 per share. |
(9) | This option, which was fully vested, was assumed by Pulte Homes, Inc. in the merger and replaced with an option to purchase 16,809 shares of Pulte common stock for $15.01 per share. |