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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 | ||||||||
Director Stock Options (Right to Buy) | $ 58.84 | 08/18/2009 | A | 4,153 | 08/18/2009 | 08/18/2012 | Common Stock | 4,153 | $ 0 (2) | 4,153 | D | ||||
Director Stock Options (Right to Buy) | $ 48.98 | 08/18/2009 | A | 4,851 | 08/18/2009 | 08/18/2012 | Common Stock | 4,851 | $ 0 (3) | 4,851 | D | ||||
Director Stock Options (Right to Buy) | $ 39.53 | 08/18/2009 | A | 6,651 | 08/18/2009 | 08/18/2012 | Common Stock | 6,651 | $ 0 (4) | 6,651 | D | ||||
Director Stock Options (Right to Buy) | $ 15.01 | 08/18/2009 | A | 16,809 | 08/18/2009 | 08/18/2012 | Common Stock | 16,809 | $ 0 (5) | 16,809 | D | ||||
Restricted Stock Unit | $ 0 (6) | 08/18/2009 | A | 8,456 (7) | 08/06/2012 | 08/06/2012 | Common Stock | 8,456 | $ 0 | 8,456 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
POSTL JAMES J 700 LOUISIANNA STREET #2445 HOUSTON, TX 77002 |
X |
Jan M. Klym, attorney-in-fact for Mr. Postl | 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) | Received 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 14,341 shares of Centex common stock owned directly. On the merger effective date, the closing price of Pulte common stock was $12.33 per share. |
(2) | Received in the Merger in exchange for an employee stock option to acquire 4,260 shares of Centex Corporation common stock for $57.36. |
(3) | Received in the Merger in exchange for an employee stock option to acquire 4,976 shares of Centex Corporation common stock for $47.75. |
(4) | Received in the Merger in exchange for an employee stock option to acquire 6,822 shares of Centex Corporation common stock for $38.54. |
(5) | Received in the Merger in exchange for an employee stock option to acquire 17,241 shares of Centex Corporation common stock for $14.63. |
(6) | Each restricted stock unit represents a contingent right to receive one share of Pulte Homes, Inc. common stock. |
(7) | Received in Merger in exchange for 8,673 common restricted stock units of Centex Corporation. |