0001574596-17-000167.txt : 20171116
0001574596-17-000167.hdr.sgml : 20171116
20171116182936
ACCESSION NUMBER: 0001574596-17-000167
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171114
FILED AS OF DATE: 20171116
DATE AS OF CHANGE: 20171116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Tricon Capital Group Inc.
CENTRAL INDEX KEY: 0001584425
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 171209173
BUSINESS ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
BUSINESS PHONE: 416-928-4116
MAIL ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRICON HOLDINGS CANADA INC.
CENTRAL INDEX KEY: 0001633989
STATE OF INCORPORATION: A6
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 171209174
BUSINESS ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
BUSINESS PHONE: 416-928-4116
MAIL ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TCN/TNHC GP LLC
CENTRAL INDEX KEY: 0001599308
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 171209180
BUSINESS ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
BUSINESS PHONE: 416-928-4116
MAIL ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TCN/TNHC LP
CENTRAL INDEX KEY: 0001599300
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 171209181
BUSINESS ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
BUSINESS PHONE: 416-928-4116
MAIL ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRICON HOUSING PARTNERS US II GP LLC
CENTRAL INDEX KEY: 0001599306
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 171209178
BUSINESS ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
BUSINESS PHONE: 416-928-4116
MAIL ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
FORMER NAME:
FORMER CONFORMED NAME: TRICON XI GP LLC
DATE OF NAME CHANGE: 20140205
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRICON US TOPCO LLC
CENTRAL INDEX KEY: 0001666639
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 171209175
BUSINESS ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W 2L2
BUSINESS PHONE: 416-928-4334
MAIL ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W 2L2
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRICON USA INC.
CENTRAL INDEX KEY: 0001599289
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 171209177
BUSINESS ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
BUSINESS PHONE: 416-928-4116
MAIL ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRICON HOLDINGS USA LLC
CENTRAL INDEX KEY: 0001633949
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 171209176
BUSINESS ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
BUSINESS PHONE: 416-928-4116
MAIL ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRICON HOUSING PARTNERS US II EQUITY HOLDINGS LP
CENTRAL INDEX KEY: 0001599323
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36283
FILM NUMBER: 171209179
BUSINESS ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
BUSINESS PHONE: 416-928-4116
MAIL ADDRESS:
STREET 1: 1067 YONGE STREET
CITY: TORONTO
STATE: A6
ZIP: M4W2L2
FORMER NAME:
FORMER CONFORMED NAME: TRICON XI EQUITY HOLDINGS LP
DATE OF NAME CHANGE: 20140205
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_151087496148667.xml
FORM 4
X0306
4
2017-11-14
0
0001574596
New Home Co Inc.
NWHM
0001599300
TCN/TNHC LP
1067 YONGE STREET
TORONTO
A6
M4W2L2
ONTARIO, CANADA
0
0
0
1
See "Remarks"below.
0001599308
TCN/TNHC GP LLC
1067 YONGE STREET
TORONTO
A6
M4W2L2
ONTARIO, CANADA
0
0
1
0
0001599323
TRICON HOUSING PARTNERS US II EQUITY HOLDINGS LP
1067 YONGE STREET
TORONTO
A6
M4W2L2
ONTARIO, CANADA
0
0
1
0
0001599306
TRICON HOUSING PARTNERS US II GP LLC
1067 YONGE STREET
TORONTO
A6
M4W2L2
ONTARIO, CANADA
0
0
1
0
0001599289
TRICON USA INC.
1067 YONGE STREET
TORONTO
A6
M4W2L2
ONTARIO, CANADA
0
0
0
1
See "Remarks" below.
0001633949
TRICON HOLDINGS USA LLC
1067 YONGE STREET
TORONTO
A6
M4W2L2
ONTARIO, CANADA
0
0
0
1
See Remarks
0001666639
TRICON US TOPCO LLC
1067 YONGE STREET
TORONTO
A6
M4W2L2
ONTARIO, CANADA
0
0
0
1
See remarks
0001633989
TRICON HOLDINGS CANADA INC.
1067 YONGE STREET
TORONTO
A6
M4W2L2
ONTARIO, CANADA
0
0
0
1
See remarks
0001584425
Tricon Capital Group Inc.
1067 YONGE STREET
TORONTO
A6
M4W2L2
ONTARIO, CANADA
0
0
0
1
See remarks
Common Stock
2017-11-14
4
S
0
25183
11.38
D
1794416
D
Common Stock
2017-11-15
4
S
0
31579
11.33
D
1762837
D
Common Stock
2017-11-16
4
S
0
14622
11.44
D
1748215
D
The sales reported on this line were effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on August 24, 2017.
The price reported in Column 4 is a weighted average price. The shares were disposed of in multiple transactions at prices ranging from $11.23 to $11.50, inclusive. TCN/TNHC LP undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares disposed of at each separate price within the ranges set forth in this footnote.
The shares are held directly by TCN/TNHC LP, whose general partner is TCN/TNHC GP LLC, a Delaware limited liability company, whose sole member is Tricon Housing Partners US II Equity Holdings LP, a Delaware limited partnership, whose general partner is Tricon Housing Partners US II GP LLC, a Delaware limited liability company, whose sole member is Tricon USA Inc., a Delaware corporation, whose sole shareholder is Tricon Holdings USA LLC, a Delaware limited liability company, whose sole member is Tricon US Topco LLC, a Delaware limited liability company, whose sole member is Tricon Holdings Canada Inc., an Ontario corporation, whose sole shareholder is Tricon Capital Group Inc., an Ontario corporation. As a result, each of the foregoing entities (other than TCN/TNHC LP which holds theshares directly) is an indirect beneficial owner of the reported securities.
The price reported in Column 4 is a weighted average price. The shares were disposed of in multiple transactions at prices ranging from $11.00 to $11.52, inclusive. TCN/TNHC LP undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares disposed of at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were disposed of in multiple transactions at prices ranging from $11.30 to $11.56, inclusive. TCN/TNHC LP undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares disposed of at each separate price within the ranges set forth in this footnote.
TCN/TNHC LP is a party to an Investor Rights Agreement with Joseph Davis, H. Lawrence Webb, Wayne Stelmar, Thomas Redwitz, IHP Capital Partners VI, LLC, and Watt/TNHC LLC (collectively, "Group Members"), dated February 5, 2014, which was filed as Exhibit 4.2 of the Company's Annual Report on Form 10-K for the year ended December 31, 2013. Pursuant to this Investor Rights Agreement, the
entity-parties thereto have 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 Investor Rights Agreement. Each of the reporting persons may be deemed to have shared voting power over the shares owned by the other Group Members. Each of the reporting persons 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 TCN/TNHC LP
2017-11-16
/s/ Miek Harbur, Attorney-in-Fact for TCN/TNHC GP LLC
2017-11-16
/s/ Miek Harbur, Attorney-in-Fact for Tricon Housing Partners US II Equity Holdings LP
2017-11-16
/s/ Miek Harbur, Attorney-in-Fact for Tricon Housing Partners US II GP LLC
2017-11-16
/s/ Miek Harbur, Attroney-in-Fact for Tricon USA Inc.
2017-11-16
/s/ Miek Harbur, Attorney-in-Fact for Tricon Holdings USA LLC
2017-11-16
/s/ Miek Harbur, Attorney-in-Fact for Tricon US Topco LLC
2017-11-16
/s/ Miek Harbur, Attorney-in-Fact for Tricon Holdings Canada Inc.
2017-11-16
/s/ Miek Harbur, Attorney-in-Fact for Tricon Capital Group Inc.
2017-11-16