0001561680-21-000101.txt : 20210831 0001561680-21-000101.hdr.sgml : 20210831 20210831174339 ACCESSION NUMBER: 0001561680-21-000101 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210827 FILED AS OF DATE: 20210831 DATE AS OF CHANGE: 20210831 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAUER DOUGLAS F. CENTRAL INDEX KEY: 0001567627 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35796 FILM NUMBER: 211227965 MAIL ADDRESS: STREET 1: C/O TRI POINTE GROUP, INC. STREET 2: 19540 JAMBOREE ROAD, SUITE 300 CITY: IRVINE STATE: CA ZIP: 92612 FORMER NAME: FORMER CONFORMED NAME: Bauer Douglas F. DATE OF NAME CHANGE: 20130123 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tri Pointe Homes, Inc. CENTRAL INDEX KEY: 0001561680 STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531] IRS NUMBER: 611763235 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 940 SOUTHWOOD BLVD, SUITE 200 CITY: INCLINE VILLAGE STATE: NV ZIP: 89451 BUSINESS PHONE: (775) 413-1030 MAIL ADDRESS: STREET 1: 940 SOUTHWOOD BLVD, SUITE 200 CITY: INCLINE VILLAGE STATE: NV ZIP: 89451 FORMER COMPANY: FORMER CONFORMED NAME: TRI Pointe Group, Inc. DATE OF NAME CHANGE: 20150707 FORMER COMPANY: FORMER CONFORMED NAME: TRI Pointe Homes, Inc. DATE OF NAME CHANGE: 20130130 FORMER COMPANY: FORMER CONFORMED NAME: TRI Pointe Homes, LLC DATE OF NAME CHANGE: 20121218 4 1 wf-form4_163044619364066.xml FORM 4 X0306 4 2021-08-27 0 0001561680 Tri Pointe Homes, Inc. TPH 0001567627 BAUER DOUGLAS F. C/O TRI POINTE HOMES, INC. 940 SOUTHWOOD BLVD, SUITE 200 INCLINE VILLAGE NV 89451 1 1 0 0 Chief Executive Officer Common Stock 2021-08-27 4 M 0 6416 17 A 144999 D Common Stock 2021-08-27 4 M 0 52854 16.17 A 197853 D Common Stock 2021-08-27 4 S 0 59270 24.18 D 138583 D Common Stock 2021-08-27 4 S 0 200000 24.14 D 462693 I See Note Common Stock 2021-08-30 4 S 0 30787 24.11 D 431906 I See Note Stock Option (Right to Buy) 17.0 2021-08-27 4 M 0 6416 0 D 2023-01-30 Common Stock 6416.0 0 D Stock Option (Right to Buy) 16.17 2021-08-27 4 M 0 52854 0 D 2024-04-07 Common Stock 52854.0 0 D The sales price is a weighted average price. The shares were sold in multiple transactions ranging from $24.10 to $24.31, inclusive. The reporting person undertakes to provide Tri Pointe Homes, Inc. 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 range. The sales price is a weighted average price. The shares were sold in multiple transactions ranging from $24.10 to $24.29, inclusive. The reporting person undertakes to provide Tri Pointe Homes, Inc. 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 range. By The Bauer Revocable Trust. The sales price is a weighted average price. The shares were sold in multiple transactions ranging from $24.10 to $24.15, inclusive. The reporting person undertakes to provide Tri Pointe Homes, Inc. 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 range. On January 30, 2013, Mr. Bauer was granted an option to purchase a total of 94,067 shares of common stock, which vested in three equal installments on January 30, 2014, 2015 and 2016. On April 7, 2014, Mr. Bauer was granted an option to purchase a total of 52,854 shares of common stock, which vested in three equal installments on April 7, 2015, 2016 and 2017. /s/ Glenn J. Keeler, attorney-in-fact 2021-08-31