0001437749-21-003144.txt : 20210217 0001437749-21-003144.hdr.sgml : 20210217 20210217163605 ACCESSION NUMBER: 0001437749-21-003144 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210212 FILED AS OF DATE: 20210217 DATE AS OF CHANGE: 20210217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Webb H Lawrence CENTRAL INDEX KEY: 0001597987 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36283 FILM NUMBER: 21645371 MAIL ADDRESS: STREET 1: THE NEW HOME COMPANY STREET 2: 85 ENTERPRISE, SUITE 450 CITY: ALISO VIEJO STATE: CA ZIP: 92656 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: New Home Co Inc. CENTRAL INDEX KEY: 0001574596 STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531] IRS NUMBER: 270560089 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 15231 LAGUNA CANYON RD STREET 2: SUITE 250 CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9493827800 MAIL ADDRESS: STREET 1: 15231 LAGUNA CANYON RD STREET 2: SUITE 250 CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: New Home Co LLC DATE OF NAME CHANGE: 20130417 4 1 rdgdoc.xml FORM 4 X0306 4 2021-02-12 0001574596 New Home Co Inc. NWHM 0001597987 Webb H Lawrence C/O THE NEW HOME COMPANY INC. 15231 LAGUNA CANYON RD, SUITE 250 IRVINE CA 92618 1 1 1 Executive Chairman See "Remarks" below. Common Stock 2021-02-12 4 A 0 55045 0 A 927901 D Common Stock 40459 I Shared Household Common Stock 38755 I By Webb Family Trust Represents restricted stock units which vest in equal annual installments on each of the first, second and third anniversaries of February 12, 2021, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date. The restricted stock units convert into common stock on a one-for-one basis. Represents shares and restricted stock units held by Joan Marcus Webb who is married to the Reporting Person. The Reporting Person disclaims the beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. By the L and J Webb Family Trust U/A DTD 07/20/2018 of which Mr. Webb is a trustee. The Reporting Person is a party to an Investor Rights Agreement dated February 5, 2014 and amended on May 22, 2018 and May 6, 2020 (as amended, the "IRA"). The current parties to the IRA are Wayne Stelmar, Joseph Davis, H. Lawrence Webb and IHP Capital Partners VI, LLC (collectively, "Group Members"). The original IRA was filed as Exhibit 4.2 of the Company's Annual Report on Form 10-K for the year ended December 31, 2013. The first amendment was filed as Exhibit 10.1 of the Company's Current Report on Form 8-K dated May 22, 2018. The second amendment was filed as Exhibit 4.4 of the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2020. Pursuant to the IRA, IHP Capital Partners VI, LLC has the right to designate a director for nomination and each of the Group Members has agreed to vote in favor of particular nominees as described in such IRA. The Reporting Person may be deemed to have shared voting power over the shares owned by the other Group Members. The Reporting Person disclaims beneficial ownership of the shares held by the other Group Members and has no pecuniary interest in the shares held by the other Group Members. /s/ Miek Harbur, Attorney-in-Fact for H. Lawrence Webb 2021-02-17