DOUGLAS F. BAUER - 27 Aug 2021 Form 4 Insider Report for Tri Pointe Homes, Inc. (TPH)

Role
Chief Executive Officer, Director
Signature
/s/ Glenn J. Keeler, attorney-in-fact
Issuer symbol
TPH
Transactions as of
27 Aug 2021
Transactions value $
-$6,039,702
Form type
4
Filing time
31 Aug 2021, 17:43:39 UTC
Previous filing
26 Aug 2021
Next filing
03 Sep 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TPH Common Stock Options Exercise $109K +6.42K +4.63% $17.00 145K 27 Aug 2021 Direct
transaction TPH Common Stock Options Exercise $855K +52.9K +36.45% $16.17 198K 27 Aug 2021 Direct
transaction TPH Common Stock Sale -$1.43M -59.3K -29.96% $24.18 139K 27 Aug 2021 Direct F1
transaction TPH Common Stock Sale -$4.83M -200K -30.18% $24.14 463K 27 Aug 2021 See Note F2, F3
transaction TPH Common Stock Sale -$742K -30.8K -6.65% $24.11 432K 30 Aug 2021 See Note F3, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction TPH Stock Option (Right to Buy) Options Exercise $0 -6.42K -100% $0.00* 0 27 Aug 2021 Common Stock 6.42K $17.00 Direct F5
transaction TPH Stock Option (Right to Buy) Options Exercise $0 -52.9K -100% $0.00* 0 27 Aug 2021 Common Stock 52.9K $16.17 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 By The Bauer Revocable Trust.
F4 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.
F5 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.
F6 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.