Tri Pointe Homes, Inc. — Director's Dealing 2021

Aug 31, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Tri Pointe Homes, Inc. (TPH)
CIK: 0001561680
Period of Report: 2021-08-27

Reporting Person: BAUER DOUGLAS F. (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-08-27	Common Stock	M	6416	$17	Acquired	144999	Direct
2021-08-27	Common Stock	M	52854	$16.17	Acquired	197853	Direct
2021-08-27	Common Stock	S	59270	$24.18	Disposed	138583	Direct
2021-08-27	Common Stock	S	200000	$24.14	Disposed	462693	Indirect
2021-08-30	Common Stock	S	30787	$24.11	Disposed	431906	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-27	Stock Option (Right to Buy)	$17.0	M	6416	Disposed	2023-01-30	Common Stock (6416.0)	Direct
2021-08-27	Stock Option (Right to Buy)	$16.17	M	52854	Disposed	2024-04-07	Common Stock (52854.0)	Direct

Footnotes

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.

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.

F3: By The Bauer Revocable Trust.

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.

F5: On January 30, 2013, Mr. Bauer was granted an option to purchase a total of 94,067 shares of common stock, which vested in three equal installments on January 30, 2014, 2015 and 2016.

F6: On April 7, 2014, Mr. Bauer was granted an option to purchase a total of 52,854 shares of common stock, which vested in three equal installments on April 7, 2015, 2016 and 2017.