Amended Statement of Changes in Beneficial Ownership (4/a)
August 03 2020 - 4:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Neff Douglas C |
2. Issuer Name and Ticker or Trading Symbol
New Home Co Inc.
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NWHM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) __X__ Other (specify below)
See "Remarks" below. |
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(Last)
(First)
(Middle)
C/O THE NEW HOME COMPANY INC., 85 ENTERPRISE, SUITE 450 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/9/2020 |
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(Street)
ALISO VIEJO, CA 92656
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/11/2020 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 6/9/2020 | | A | | 16759 | A | $0 | 40855 (1) | D | |
| Common Stock | | | | | | | | 2431848 (1) | I | By IHP Capital
Partners VI,
LLC |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | This Amendment is being filed solely to correct the amount of shares previously reported as beneficially owned directly by Douglas C. Neff and indirectly owned by IHP Capital Partners VI, LLC. |
Remarks:
IHP VI LLC is a party to an Investor Rights Agreement dated February 5, 2014 and amended on May 22, 2018 and May 6, 2020 (as amended, the "IRA"). The current parties to the IRA are IHP VI LLC, Joseph Davis, 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, the amendment was filed as Exhibit 10.1 of the Company's Current Report on Form 8-K dated May 22, 2018, and the second amendment was filed as Exhibit 4.4 of the Company's Quarterly Report on Form 10-Q dated May 8, 2020. Pursuant to the IRA, IHP VI LLC has the right to designate a director 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Neff Douglas C
C/O THE NEW HOME COMPANY INC.
85 ENTERPRISE, SUITE 450
ALISO VIEJO, CA 92656 | X | X |
| See "Remarks" below. |
Signatures
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| /s/ Miek Harbur, Attorney-in-Fact for Douglas C. Neff | | 8/3/2020 |
| **Signature of Reporting Person | Date |
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