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