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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) | $ 52.48 | 08/18/2009 | D | 58,717 | (6) | 10/16/2013 | Common Stock | 58,717 | (6) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 45.53 | 08/18/2009 | D | 22,576 | (7) | 05/10/2014 | Common Stock | 22,576 | (7) | 0 | D | ||||
Employee Stock Option (right to buy) | $ 22.08 | 08/18/2009 | D | 94,816 | (8) | 05/07/2015 | Common Stock | 94,816 | (8) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Smith Catherine R 2728 N HARWOOD DALLAS, TX 75201-1516 |
EVP & CFO |
James R. Peacock III as attorney-in-fact for Catherine R. Smith | 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) | Forfeiture of restricted stock units awarded May 13, 2009 pursuant to the terms of the award agreement and the Agreement and Plan of Merger dated as of April 7, 2009 between Centex Corporation and Pulte Homes, Inc. ("Merger Agreement"). |
(2) | Disposed of pursuant to the Merger Agreement in exchange for 69,395 shares of Pulte common stock, after reduction of shares to pay tax liability upon the vesting of restricted stock. |
(3) | Disposed of pursuant to the Merger Agreement in exchange for 22,808 shares of Pulte common stock owned directly. |
(4) | Disposed of pursuant to the Merger Agreement in exchange for 70,161 shares of restricted Pulte common stock that vest 1/3 each on March 31, 2010, 2011 and 2012, and are subject to partial accelerated vesting in the event of a qualified termination. |
(5) | On the merger effective date, shares of Pulte common stock had a market value of $12.33 per share. |
(6) | This option, which provided for vesting in 5 equal annual installments beginning October 16, 2007, was assumed by Pulte Homes, Inc. in the merger and replaced with a fully vested option to purchase 57,249 shares of Pulte common stock for $53.83 per share. |
(7) | This option, which provided for vesting in 3 equal annual installments beginning March 31, 2009, was assumed by Pulte Homes, Inc. in the merger and replaced with a fully vested option to purchase 22,011 shares of Pulte common stock for $46.70 per share. |
(8) | This option, which provided for vesting in 3 equal annual installments beginning March 31, 2009, was assumed by Pulte Homes, Inc. in the merger and replaced with a fully vested option to purchase 92,445 shares of Pulte common stock for $22.65 per share. |