0001574596-18-000100.txt : 20180524
0001574596-18-000100.hdr.sgml : 20180524
20180524172024
ACCESSION NUMBER: 0001574596-18-000100
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180522
FILED AS OF DATE: 20180524
DATE AS OF CHANGE: 20180524
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Neff Douglas C
CENTRAL INDEX KEY: 0001387501
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 18858812
MAIL ADDRESS:
STREET 1: 19800 MACARTHUR BLVD.
STREET 2: SUITE 700
CITY: IRVINE
STATE: CA
ZIP: 92612
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: 85 ENTERPRISE STE 450
CITY: ALISO VIEJO
STATE: CA
ZIP: 92656
BUSINESS PHONE: 9493827800
MAIL ADDRESS:
STREET 1: 85 ENTERPRISE STE 450
CITY: ALISO VIEJO
STATE: CA
ZIP: 92656
FORMER COMPANY:
FORMER CONFORMED NAME: New Home Co LLC
DATE OF NAME CHANGE: 20130417
4
1
wf-form4_152719680975835.xml
FORM 4
X0306
4
2018-05-22
0
0001574596
New Home Co Inc.
NWHM
0001387501
Neff Douglas C
C/O THE NEW HOME COMPANY INC.
85 ENTERPRISE, SUITE 450
ALISO VIEJO
CA
92656
1
0
1
1
See "Remarks" below.
Common Stock
2018-05-22
4
A
0
5982
0
A
11053
D
Common Stock
2431848
I
By IHP Capital Partners VI, LLC
Represents restricted stock units which vest on the earlier of the (i) first anniversary of the grant date and (ii) the date of the next annual meeting of the Company's stockholders, 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.
These shares are owned directly by IHP Capital Partners VI, LLC, a Delaware limited liability company ("IHP VI LLC"), and indirectly by Douglas C. Neff, who is the president of IHP Capital Partners, a California corporation, which is the General Partner of Institutional Housing Partners VI L.P., a California limited partnership, which is the manager of IHP VI LLC. Mr. Neff disclaims ownership of these shares except to the extent of any pecuniary interest therein.
IHP VI LLC is a party to an Investor Rights Agreement dated February 5, 2014 and amended on May 22, 2018 (as amended, the "IRA"). The current parties to the IRA are IHP VI LLC, Joseph Davis, Thomas Redwitz, Wayne Stelmar and H. Lawrence Webb (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 and the amendment was filed as Exhibit 10.1 of the Company's Current Report on Form 8-K dated May 22, 2018. Pursuant to the IRA, IHP VI LLC has the right to designate directors 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 Douglas C. Neff
2018-05-24