Document:

EX-4.1

 Exhibit 4.1 
  

			
	NUMBER		SHARES

 SEE REVERSE FOR IMPORTANT NOTICE ON 

TRANSFER RESTRICTIONS, CERTAIN 

DEFINITIONS AND OTHER INFORMATION 

TRI POINTE GROUP, INC. 

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE 
  

			
	THIS CERTIFIES THAT		CUSIP
		
	IS THE OWNER OF		
	FULLY PAID AND NON-ASSESSABLE SHARES OF COMMON STOCK, $0.01 PAR VALUE PER SHARE, OF

 TRI POINTE GROUP, INC. 

(hereinafter called the “Corporation”) transferable on the books of the Corporation by the holder hereof in person or by a duly authorized
attorney upon surrender of this Certificate properly endorsed. This Certificate and the shares represented hereby are issued and shall be held subject to all of the provisions of the Certificate of Incorporation of the Corporation (the
“Charter”) and the Bylaws of the Corporation and any amendments thereto. This Certificate is not valid unless countersigned by the Transfer Agent and registered by the Registrar. 

IN WITNESS WHEREOF, the Corporation has caused this Certificate to be signed by facsimile signatures of its duly authorized officers. 

 

							
	   Dated:
				
			
	  

Chief Executive Officer and Director
				  

Secretary

			
	 Countersigned and Registered:
				
			
	 American Stock Transfer & Trust Company LLC

Transfer Agent and Registrar
				
				
	 By:
		  
				
			 Authorized Signatory
				

 IMPORTANT NOTICE 

THE CORPORATION WILL FURNISH TO ANY STOCKHOLDER ON REQUEST AND WITHOUT CHARGE A FULL STATEMENT OF THE INFORMATION REQUIRED BY SECTION 151(F)
OF THE GENERAL CORPORATION LAW OF THE STATE OF DELAWARE WITH RESPECT TO THE POWERS, DESIGNATIONS, PREFERENCES AND RELATIVE, PARTICIPATING, OPTIONAL, OR OTHER SPECIAL RIGHTS OF EACH CLASS OF STOCK OR SERIES THEREOF AND THE QUALIFICATIONS, LIMITATIONS
OR RESTRICTIONS OF SUCH PREFERENCES AND/OR RIGHTS. 
 THE CORPORATION WILL FURNISH WITHOUT CHARGE TO EACH STOCKHOLDER WHO SO REQUESTS A COPY
OF THE CHARTER AND BYLAWS OF THE CORPORATION. SUCH REQUEST MAY BE MADE TO THE SECRETARY OF THE CORPORATION AT ITS PRINCIPAL OFFICE OR TO THE TRANSFER AGENT. 
  

 
 KEEP THIS
CERTIFICATE IN A SAFE PLACE. IF IT IS LOST, STOLEN OR DESTROYED, THE CORPORATION WILL REQUIRE A BOND OF INDEMNITY AS A CONDITION TO THE ISSUANCE OF A REPLACEMENT CERTIFICATE. 

 
  

The following abbreviations, when used in the inscription on the face of this Certificate, shall be construed as though they were written out
in full according to applicable laws or regulations: 
  

							
	TEN COM –	  	as tenants in common	    	UNIF GIFT MIN ACT —	  	Custodian
	TENENT –	  	as tenants by the entireties	    	(Cust) (Minor)	  	
	JT TEN –	  	as joint tenants with right of survivorship and not as tenants in common	    	under Uniform Gifts to Minors Act (State)	  	

 Additional abbreviations may also be used though not in the above list. 

FOR VALUE RECEIVED, HEREBY SELL, ASSIGN AND TRANSFER 
 UNTO
Please insert social security or other identifying number of assignee 
  

	
	  

  

 
 (Please Print or Typewrite Name and Address,
Including Zip Code, of Assignee) 
  
  

 
  

SHARES OF COMMON STOCK OF THE CORPORATION REPRESENTED BY THIS CERTIFICATE AND DO HEREBY IRREVOCABLY CONSTITUTE AND APPOINT 

ATTORNEY TO TRANSFER THE SAID SHARES ON THE BOOKS OF THE CORPORATION WITH THE POWER OF SUBSTITUTION IN THE PREMISES. 

 

									
	Dated: 	 	  
	  	 	Signature:	  	  	  

		 		  				  	NOTICE: The Signature To This Assignment Must Correspond With The Name As Written Upon the Face Of The Certificate In Every Particular, Without Alteration Or Enlargement Or Any Change Whatsoever.
	 Signature Guaranteed by:EX-4.2

 Exhibit 4.2 

THIRD SUPPLEMENTAL INDENTURE 

THIS THIRD SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), entered into as of July 7, 2015, among TRI
Pointe Group, Inc., a Delaware corporation (“TPG”), TRI Pointe Homes, Inc., a Delaware corporation (“TPH”), and U.S. Bank National Association, as trustee (the “Trustee”). Capitalized terms used
herein and not otherwise defined herein are used as defined in the Indenture referred to below. 
 WITNESSETH 

WHEREAS, TPH is the Issuer under that certain indenture dated as of June 13, 2014, as supplemented by the First Supplemental
Indenture dated as of June 14, 2014 and the Second Supplemental Indenture dated as of July 7, 2014 (as so supplemented, the “Indenture”) among TPH, the Trustee and the guarantors party thereto, providing for the issuance
by the Issuer of its 4.375% Senior Notes due 2019 (the “Notes”); 
 WHEREAS, Section 8.01(ix) of the Indenture
provides that the Issuer and the Trustee may amend, waive or supplement the Indenture without consent of any Holder to make any change that does not materially adversely affect the rights of any Holder thereunder as determined in good faith by the
Board of Directors; 
 WHEREAS, the Board of Directors has determined in good faith that the changes contained in this Supplemental
Indenture, including causing TPG to become the Co-Issuer of the Notes with TPH and assume, as a co-issuer with TPH, the obligations of an issuer under the Indenture, does not materially adversely affect the rights of any Holder; 

WHEREAS, TPG and TPH are to become co-issuers under the Indenture and the Notes and each of TPG and TPH shall, after execution and delivery of
this Supplemental Indenture by the parties hereto, assume all the obligations of an issuer under the Indenture and the Notes on the terms and conditions set forth herein; 

WHEREAS, pursuant to Section 8.01(ix) of the Indenture, TPH and the Trustee are authorized to execute and deliver this Supplemental
Indenture without the consent of Holders of the Notes; and 
 WHEREAS, all things necessary to make this Supplemental Indenture a valid
indenture and agreement according to its terms have been done. 
 NOW, THEREFORE, in consideration of the foregoing and for other good and
valuable consideration, the receipt of which is hereby acknowledged, TPH, TPG and the Trustee mutually covenant and agree for the equal and ratable benefit of the Holders of the Notes as follows: 

1. AMENDMENT. This Supplemental Indenture is an amendment supplemental to the Indenture, and the Indenture and
this Supplemental Indenture will henceforth be read together. 
 2. AGREEMENT. 

(a) TPG hereby agrees to become, together with TPH, a party to the Indenture as Issuer, and as such will have all of the rights
and be subject to all of the obligations and agreements of the Issuer under the Indenture and the Notes, effective upon the execution and delivery of this Supplemental Indenture. 

 (b) The definition of “Issuer” set forth in Section 1.01 of the
Indenture is hereby amended and restated to read as follows: “Issuer” means, collectively, jointly and severally, TPG and TPH, and thereafter any successor of TPG or TPH which replaces TPG or TPH pursuant to Article Five. 

(c) The definition of “TPG” is hereby added to Section 1.01 of the Indenture in proper alphabetical order as
follows: “TPG” means TRI Pointe Group, Inc., a Delaware corporation. 
 (d) Section 4.02 of the
Indenture is hereby amended to replace all references in such section to “Issuer” with “TPG”. 
 (e) A
new Section 4.16 shall be added to the Indenture as follows: 
 SECTION 4.16 TPG Covenants. 

TPG shall not engage in any business or activity other than: (a) its ownership of all of the Equity Interests in TPH and
activities incidental thereto, (b) performing its obligations under this Indenture, (c) performing its obligations as borrower under the Credit Agreement and with respect to any other Indebtedness and other obligations permitted to be
incurred under this Indenture, (d) any action required by law to maintain its existence, (e) any issuance or sale of its Equity Interests and (f) any other activities customarily performed in the good faith judgment of TPG by a
holding company, including without limitation the provision of managerial, treasury and other administrative functions, for or on behalf of itself, TPH and TPH’s subsidiaries and affiliates. 

3. NEW YORK LAW TO GOVERN. THE INTERNAL LAW OF THE
STATE OF NEW YORK SHALL GOVERN AND BE USED TO CONSTRUE THIS SUPPLEMENTAL INDENTURE WITHOUT GIVING EFFECT TO APPLICABLE PRINCIPLES OF CONFLICTS OF LAW TO THE EXTENT THAT THE APPLICATION OF THE LAWS OF ANOTHER JURISDICTION WOULD BE REQUIRED THEREBY.

 4. COUNTERPARTS. The parties may sign any number of copies of this Supplemental Indenture. Each signed copy
shall be an original, but all of them together represent the same agreement. Delivery of an executed counterpart of a signature page to this Supplemental Indenture by facsimile, email or other electronic means shall be effective as delivery of a
manually executed counterpart of this Supplemental Indenture. 
 5. EFFECT OF
HEADINGS. The Section headings herein are for convenience only and shall not affect the construction hereof. 

6. THE TRUSTEE. The Trustee shall not be responsible in any manner whatsoever for or in respect
of the validity or sufficiency of this Supplemental Indenture or for or in respect of the recitals contained herein, all of which recitals are made solely by TPG and TPH. 

7. BENEFITS ACKNOWLEDGED. TPG acknowledges that it will receive direct and indirect benefits from
the financing arrangements contemplated by the Indenture and this Supplemental Indenture and that its obligation to become an issuer of the Notes pursuant to this Supplemental Indenture are knowingly made in contemplation of such benefits. 

  
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 8. SUCCESSORS. All agreements of TPH and TPG in this Supplemental
Indenture shall bind its successors, except as otherwise provided in the Indenture. All agreements of the Trustee in this Supplemental Indenture shall bind its successors. 

9. WAIVER OF JURY TRIAL. EACH OF TPH, TPG AND THE TRUSTEE HEREBY
IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL PROCEEDING ARISING OUT OF OR RELATING TO THIS SUPPLEMENTAL INDENTURE. 

10. RATIFICATION OF THE INDENTURE. Except as expressly amended
hereby, the Indenture is in all respects ratified and confirmed and all the terms, conditions and provisions thereof shall remain in full force and effect. This Supplemental Indenture shall form a part of the Indenture for all purposes, and every
Holder of Notes heretofore or hereafter authenticated and delivered shall be bound hereby. 
 11. NOTICES. All
notices and other communications to the Issuer shall be given as provided in the Indenture to TPG at the address set forth below. 

TRI POINTE GROUP, INC. 

PO Box 57088 

Irvine, CA 92619 

Attention: Legal Department 

Fax Number: (949) 478-8601 

  
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 IN WITNESS WHEREOF, the parties hereto have caused this Supplemental Indenture to be duly executed and attested,
all as of the date first above written. 
  

			
	TRI POINTE GROUP, INC., as Issuer
		
	By:		 /s/ Michael D. Grubbs

	Name:		Michael D. Grubbs
	Title:		Chief Financial Officer
	
	TRI POINTE HOMES, INC., as Issuer
		
	By:		 /s/ Michael D. Grubbs

	Name:		Michael D. Grubbs
	Title:		Chief Financial Officer
	
	 U.S. BANK NATIONAL ASSOCIATION, as Trustee

		
	By:		 /s/ Georgina Thomas

	Name:		Georgina Thomas
	Title:		Assistant Vice President

  
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