0000905148-16-001519.txt : 20160406 0000905148-16-001519.hdr.sgml : 20160406 20160406160329 ACCESSION NUMBER: 0000905148-16-001519 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20160401 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20160406 DATE AS OF CHANGE: 20160406 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UCP, Inc. CENTRAL INDEX KEY: 0001572684 STANDARD INDUSTRIAL CLASSIFICATION: OPERATIVE BUILDERS [1531] IRS NUMBER: 900978085 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36001 FILM NUMBER: 161557564 BUSINESS ADDRESS: STREET 1: 99 ALMADEN BOULEVARD STREET 2: SUITE 400 CITY: SAN JOSE STATE: CA ZIP: 95113 BUSINESS PHONE: 408-207-9499 MAIL ADDRESS: STREET 1: 99 ALMADEN BOULEVARD STREET 2: SUITE 400 CITY: SAN JOSE STATE: CA ZIP: 95113 FORMER COMPANY: FORMER CONFORMED NAME: UCP, LLC DATE OF NAME CHANGE: 20130321 8-K 1 efc16-318_fm8k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
_________________________
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of report (Date of earliest event reported) April 1, 2016
_________________________
UCP, Inc.
(Exact Name of Registrant as Specified in Charter)
_________________________
Delaware
1-36001
90-0978085
(State or Other Jurisdiction
of Incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
     
 
99 Almaden Boulevard
Suite 400
San Jose, California
95113
   (Address of Principal Executive Offices)   (Zip Code)
                                                                                             
Registrant's telephone number, including area code (408) 207-9499
 
(Former Name or Former Address, if Changed Since Last Report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On April 1, 2016, UCP, Inc. (the “Company”) entered into an amendment (the “Amendment”) to the Employment Agreement, dated as of July 23, 2013, between the Company and Dustin L. Bogue (the “Agreement”), the Company’s President and Chief Executive Officer. Pursuant to the Amendment, the term of the Agreement was extended to July 23, 2019, followed by automatic one-year renewal periods, absent at least 60 days prior written notice of non-renewal by either party. The Amendment does not alter any of the other material terms of the Agreement. The foregoing summary of the Amendment is qualified in its entirety by reference to the full text of the Amendment, a copy of which is attached as Exhibit 10.1 to this Current Report on Form 8-K, and is incorporated herein by reference.
Item. 9.01. Financial Statements and Exhibits.
(d) Exhibits.
Exhibit No.  
Exhibit
 
 
 
 
10.1 
Amendment One to Employment Agreement, dated as of April 1, 2016, between UCP, Inc. and Dustin L. Bogue
    
1

SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: April 6, 2016
 
 
UCP, Inc.
 
       
 
By:
/s/  W. Allen Bennett  
    Vice President and General Counsel  
     
       
 
 
2

EXHIBIT INDEX
Exhibit No.  
Exhibit
 
 
 
 
10.1 
Amendment One to Employment Agreement, dated as of April 1, 2016, between UCP, Inc. and Dustin L. Bogue
    
 
EX-10.1 2 efc16-318_ex101.htm
Exhibit 10.1
 

AMENDMENT ONE
TO EMPLOYMENT AGREEMENT

THIS AMENDMENT ONE TO EMPLOYMENT AGREEMENT is dated and effective as of April 1, 2016, between UCP, Inc., a Delaware corporation (the “Company”), and Dustin L. Bogue (the “Executive”).

WHEREAS, the Executive and the Company are parties to an Employment Agreement (the “Agreement”) dated as of July 23, 2013; and

WHEREAS, the Executive and the Company desire to extend the term of the Agreement;

NOW, THEREFORE, in consideration of the recitals, mutual covenants and agreements set forth in the Agreement and below, the parties agree as follows:

1.
All capitalized terms used but not defined herein shall have the meaning accorded to them in the Agreement.

2.
Section 1 of the Agreement hereby is amended to extend the Employment Period to and including July 23, 2019 (the “Expiration Date”), unless the Agreement is otherwise terminated pursuant to Section 4 thereof; provided however, that on the Expiration Date and each annual anniversary of such date thereafter, the Agreement shall automatically be extended for one additional year unless either the Company or Executive shall have terminated this automatic extension provision by written notice to the other party at least 60 days prior to the automatic extension date. Subject to the terms of the Agreement, Executive's employment remains at will, which means that either Executive or the Company may terminate this relationship with or without Cause or notice.

3.
Except as amended herein, the Agreement shall continue unmodified and in full force and effect.

[Signature Page Follows]

 
1

 
IN WITNESS WHEREOF, the parties hereto have executed this Amendment One to Employment Agreement as of the date first subscribed above.
 
UCP, INC.     EXECUTIVE  
         
         
By: /s/ W. Allen Bennett     /s/ Dustin L. Bogue    
        Dustin L. Bogue    
Name: W. Allen Bennett          
             
Title: General Counsel and Secretary          
 
   
 
 
 
 
 
 
 
 
 
2
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