# EDGAR Filing Document

**Accession Number:** 0001612241
**File Stem:** 0001561680-23-000017
**Filing Date:** 2023-2
**Character Count:** 7583
**Document Hash:** 1360706a4a4bcdf370647ceab2de1624
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001561680-23-000017.hdr.sgml**: 20230221

**ACCESSION NUMBER**: 0001561680-23-000017

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230216

**FILED AS OF DATE**: 20230221

**DATE AS OF CHANGE**: 20230221

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** KEELER GLENN J.
- **CENTRAL INDEX KEY:** 0001612241

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-35796
- **FILM NUMBER:** 23650256

**MAIL ADDRESS:**
- **STREET 1:** C/O TRI POINTE GROUP, INC.
- **STREET 2:** 19540 JAMBOREE ROAD, SUITE 300
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92612

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Keeler Glenn
- **DATE OF NAME CHANGE:** 20140630
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Tri Pointe Homes, Inc.
- **CENTRAL INDEX KEY:** 0001561680
- **STANDARD INDUSTRIAL CLASSIFICATION:** OPERATIVE BUILDERS [1531]
- **IRS NUMBER:** 611763235
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 940 SOUTHWOOD BLVD, SUITE 200
- **CITY:** INCLINE VILLAGE
- **STATE:** NV
- **ZIP:** 89451
- **BUSINESS PHONE:** (775) 413-1030

**MAIL ADDRESS:**
- **STREET 1:** 940 SOUTHWOOD BLVD, SUITE 200
- **CITY:** INCLINE VILLAGE
- **STATE:** NV
- **ZIP:** 89451

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TRI Pointe Group, Inc.
- **DATE OF NAME CHANGE:** 20150707

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TRI Pointe Homes, Inc.
- **DATE OF NAME CHANGE:** 20130130

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TRI Pointe Homes, LLC
- **DATE OF NAME CHANGE:** 20121218

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>KEELER GLENN J.<br><sub>(Last) (First) (Middle)</sub><br>C/O TRI POINTE HOMES, INC.<br>940 SOUTHWOOD BLVD, SUITE 200<br><sub>(Street)</sub><br>INCLINE VILLAGE, NV 89451<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CFO and CAO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Tri Pointe Homes, Inc. [ TPH ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-16 |  | A |  | 37882<sup>(1)</sup> | A | $0 | 121135<sup>(2)</sup> | D |  |
| Common Stock | 2023-02-16 |  | F |  | 13305<sup>(3)</sup> | D | $22.41 | 107830 | D |  |
| Common Stock | 2023-02-20 |  | F |  | 1912<sup>(4)</sup> | D | $22.29 | 105918 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Represents shares of common stock issued pursuant to the vesting of performance-based restricted stock units granted on February 20, 2020 under the Company's 2013 Long-Term Incentive Plan that were eligible to vest based on attainment of certain revenue and pre-tax earnings performance goals, in each case subject to a modifier based on the Company's total stockholder return performance relative to its peer group (the "Performance Awards"). Upon the recommendation of the Compensation Committee, the Company's board of directors determined that, based on the Company's performance over the performance period, 37,882 Performance Awards would vest and be settled into an equal number of shares of common stock, in accordance with the terms of the Performance Awards.

(2) On March 2, 2022, the reporting person filed a Form 4 reporting 96,423 shares of common stock beneficially owned directly by the reporting person, which inadvertently failed to reflect the disposition by the reporting person of 13,169 shares of common stock reported pursuant to a Form 4 filed on March 9, 2021. The amount of securities beneficially owned by the reporting person has been corrected herein.

(3) Withholding of shares to satisfy tax withholding obligations incident to vesting of the Performance Awards.

(4) Withholding of shares to satisfy tax withholding obligations incident to vesting of RSU award under the Company's 2013 Long-Term Incentive Plan.

**Signature:** /s/ Glenn J. Keeler  
**Date:** 2023-02-21

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**