0001104659-23-114861.txt : 20231106 0001104659-23-114861.hdr.sgml : 20231106 20231106181510 ACCESSION NUMBER: 0001104659-23-114861 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231102 FILED AS OF DATE: 20231106 DATE AS OF CHANGE: 20231106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KAMFAR RAMIN CENTRAL INDEX KEY: 0001111908 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41322 FILM NUMBER: 231381059 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS STREET 2: 32 FLOOR CITY: NEW YORK STATE: NY ZIP: 10105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Bluerock Homes Trust, Inc. CENTRAL INDEX KEY: 0001903382 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 874211187 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS STREET 2: 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2128431601 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS STREET 2: 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10105 4 1 tm2329969-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-11-02 0 0001903382 Bluerock Homes Trust, Inc. BHM 0001111908 KAMFAR RAMIN 1345 AVENUE OF THE AMERICAS 32ND FLOOR NEW YORK NY 10105 1 1 0 0 Chairman and CEO 0 Class A common stock 2023-11-02 4 D 0 31260 D 726 I See Footnote LTIP Units 2023-11-02 4 D 0 367357 D Class A Common Stock 367357 561069 I See Footnote LTIP Units 2023-11-02 4 D 0 83995 D Class A Common Stock 83995 477074 I See Footnote LTIP Units 2023-11-03 4 A 0 126011 A Class A Common Stock 126011 603085 D The reported transaction represents the Reporting Person's voluntary forfeiture of previously awarded, unvested restricted shares of the Issuer's Class A common stock, $0.01 par value per share, issued to Bluerock Homes Manager, LLC (the "Manager"), in which the Reporting Person owns an indirect pecuniary interest, on May 25, 2023 in payment of a portion of the annual long-term equity incentive grant for the fiscal year ended December 31, 2022, pursuant to the Issuer's 2022 Equity Incentive Plan for Entities (the "Plan"). The reported transaction represents the Reporting Person's voluntary forfeiture of previously awarded, unvested long-term incentive plan units ("LTIP Units") in Bluerock Residential Holdings, LP (the "Operating Partnership"), of which the Issuer is the general partner. The LTIP Units were issued to the Manager, in which the Reporting Person owns an indirect pecuniary interest, pursuant to the Plan on November 3, 2022, in payment of the initial staking grant. The reported transaction represents the Reporting Person's voluntary forfeiture of previously awarded, unvested LTIP Units in the Operating Partnership, of which the Issuer is the general partner. The LTIP Units were issued to the Manager, in which the Reporting Person owns an indirect pecuniary interest, pursuant to the Plan on May 25, 2023 in payment of a portion of the annual long-term equity incentive grant for the fiscal year ended December 31, 2022. Represents LTIP Units issued, at the direction of the Manager, in satisfaction of the Manager's reimbursement obligation to its affiliate, Bluerock Real Estate Holdings, LLC ("BREH"), for the portion of the initial staking grant payable by BREH to the Reporting Person for services provided to the Manager in the Reporting Person's capacity as Chief Executive Officer thereof. Such LTIP Units will vest one-fifth on November 3, 2023, and the remainder will vest ratably on an annual basis over a four-year period. Once vested, these awards of LTIP Units may convert to limited partnership interests of the Operating Partnership ("OP Units") upon reaching capital account equivalency with the OP Units held by the Company, and may then be redeemed for cash or, at the option of the Issuer and after a one year holding period (including any period during which the LTIP Units were held), settled in shares of the Issuer's Class A common stock on a one-for-one basis. The Reporting Person will be entitled to receive "distribution equivalents" with respect to such LTIP Units, whether or not vested, at the same time as distributions are paid to the holders of the Issuer's Class A common stock. /s/ Christopher J. Vohs, Attorney-in-fact 2023-11-06