SEC Form 4 · accession 0001613314-15-000008
TRI Pointe Group, Inc. · TPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ken Krivanec
Officer — President of Quadrant Homes
Period of report
Jun 2, 2015
Accepted (ET)
Jun 4, 2015 · 6:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001561680
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 2, 2015 | M | 5,883 | $9.68 | A | 41,432 | D | |
| Common StockF2 | Jun 2, 2015 | S | 5,883 | $14.74 | D | 35,549 | D | |
| Common StockF3 | Jun 2, 2015 | M | 5,805 | $11.45 | A | 41,354 | D | |
| Common StockF3,F2 | Jun 2, 2015 | S | 5,805 | $14.74 | D | 35,549 | D | |
| Common StockF2 | Jun 2, 2015 | S | 5,432 | $14.74 | D | 30,117 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F1 | $9.68 | Jun 2, 2015 | M | 5,883 | D | Jul 7, 2014 | Feb 8, 2022 | Common Stock | 5,883 | 5,884 | D |
| Stock option (right to buy)F3 | $11.45 | Jun 2, 2015 | M | 5,805 | D | Jul 7, 2014 | Feb 9, 2021 | Common Stock | 5,805 | 0 | D |
Explanation of responses
- F1Adjusted due to rounding, originally reported as $9.67.
- F2The sales price is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.70 to $14.7675, 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.
- F3Adjusted due to rounding, originally reported as 5,804.