Bauer Douglas F.'s Form 4 filing
Tri Pointe Homes, Inc. (TPH) · filed Aug 31, 2021
- Accession no.
- 0001561680-21-000101
- Filed
- Aug 31, 2021
- Trade date
- Aug 27-30, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $7.00M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Bauer Douglas F.CIK 0001567627 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 27, 2021 | Common Stock | MOption exerciseAcquired | +6,416 | $17.00 | +$109,072 | 144,999 | Direct | |
| Aug 27, 2021 | Common Stock | MOption exerciseAcquired | +52,854 | $16.17 | +$854,649.18 | 197,853 | Direct | |
| Aug 27, 2021 | Common Stock | SSaleDisposed | −59,270 | $24.18F1 | −$1,433,148.6 | 138,583 | Direct | |
| Aug 27, 2021 | Common Stock | SSaleDisposed | −200,000 | $24.14F2 | −$4,828,000 | 462,693 | Indirect | |
| Aug 30, 2021 | Common Stock | SSaleDisposed | −30,787 | $24.11F4 | −$742,274.57 | 431,906 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 27, 2021 | Common Stock | MOption exerciseDisposed | −6,416 | $0.00 | $0 | 0 | Direct | |
| Aug 27, 2021 | Common Stock | MOption exerciseDisposed | −52,854 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The sales price is a weighted average price. The shares were sold in multiple transactions ranging from $24.10 to $24.31, inclusive. The reporting person undertakes to provide Tri Pointe Homes, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
Referenced by the price of 1 transaction in Table I.
- F2
The sales price is a weighted average price. The shares were sold in multiple transactions ranging from $24.10 to $24.29, inclusive. The reporting person undertakes to provide Tri Pointe Homes, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
Referenced by the price of 1 transaction in Table I.
- F4
The sales price is a weighted average price. The shares were sold in multiple transactions ranging from $24.10 to $24.15, inclusive. The reporting person undertakes to provide Tri Pointe Homes, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
Referenced by the price of 1 transaction in Table I.