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Description of Completed Projects and Communities under DevelopmentCounty, Project, CityYear
of
First
Delivery(1)Total
Number
of
Homes(2)Cumulative
Homes
Delivered as
of December 31,
2012Lots as
of December 31,
2012(3)Backlog as
of December 31,
2012(4)(5)Homes Closed
for the Year
Ended
December 31,
2012Sales Price
Range
(in 000s)(6)Owned ProjectsSouthern CaliforniaOrange County:Brio, La Habra2013$440 $480Rancho Mission Viejo$580 $630San Diego County:Eagle Ridge, Oceanside2010$425 $435Candera, San Marcos2012$310 $380$440 $490Altana, San Diego$585 $645Riverside County:Amberview, Riverside$390 $440Topazridge, Riverside$390 $445Sagebluff, Riverside$362 $380Los Angeles County:Los Arboles, Simi Valley$387 $422Tamarind Lane, Azusa$440 $452Tamarind Lane II, Azusa2014Playa Vista, Los Angeles$855 $955Southern California TotalNorthern CaliforniaSanta Clara County:Chantrea, San Jose$1,245 $1,515Ironhorse South, Morgan Hill$515 $675Ironhorse North, Morgan Hill$565 $730Avellino, Mountain View$825 $1,025San Mateo County:Amelia, San Mateo$710 $1,050Northern California TotalColoradoDouglas County:Terrain, Castle Rock$271 $334Colorado TotalCompany TotalOwned ProjectsFee Building ProjectsSan Marino, Irvine(7)2011N/AVentura County:Meridian Hills, Moorpark(8)$620 $775Lagunitas, Carpinteria(8)$466 $890Company TotalFee Building ProjectsGrand Totals:Owned and Controlled LotsMarketLots
OwnedLots
Controlled(1)Lots
Owned
and
Controlled(1)TotalItem 6. Selected Financial DataYear Ended
December 31,Period
From
September 24,
2010
(Inception)
Through
December 31,PredecessorPeriod From
January 1,
2010
Through
September 23,Statement of Operations Data:Home sales$Cost of home salesHomebuilding gross profitFee building gross marginSales and marketingGeneral and administrativeOrganizational costsOther expense, netNet income (loss)Pro forma income (loss) per share(1)BasicDilutedOperating Data-Owned Projects:Net new home ordersNew homes deliveredAverage sales price of homes deliveredCancellation rate16%13%19%20%Average selling communitiesSelling communities at end of periodBacklog at end of period, number of homesBacklog at end of period, aggregate sales valueDecember 31,Balance Sheet Data (at period end):Cash and cash equivalentsReal estate inventoriesTotal assetsNotes payableTotal liabilitiesMembers equityConsolidated Financial Data:Revenues:Fee buildingExpenses:Income (loss) from operationsNet New Home Orders and BacklogIncrease (Decrease)Amount%386%3%23%170%133%Backlog (dollar value)890%Backlog (units)750%Average sales price of backlogHome Sales Revenue and New Homes Delivered300%Home sales revenue473%43%Homebuilding100.0%82.2%89.3%Homebuilding gross margin17.8%10.7%Add: interest in cost of home sales1.1%2.0%Adjusted homebuilding gross margin(1)18.9%12.7%Homebuilding gross margin percentageAdjusted homebuilding gross margin percentage(1)Fee BuildingYear
Ended
December 31,86.1%97.4%13.9%2.6%Selling, General and Administrative ExpenseAs a Percentage of
Home Sales Revenue6.0%11.5%General and administrative (G&A)8.7%34.2%Total sales and marketing and G&A14.7%45.6%Lots Owned and ControlledIncrease (Decrease)Lots Owned73%85%90%Lots Controlled(1)(21)%446%101%Total Lots Owned and Controlled(1)95%Year
Ended
December 31,
2011Period
From
September
24,
2010
(Inception)
Through
December 31,
2010367%(6(320%50%383%21%227%226%(091.1%8.9%2.1%11.0%94.5%5.5%As a Percentage of
Home Sales
Revenue9.8%45.3%55.1%527%93%128%265%Period
From
January
1,
2010
Through
September
23,
2010950%(7(35100%200%142%86.6%13.4%Year Ended
December 31,
2011Period From
January 1,
2010
Through
September 23,
2010December 31,
2011As
of
September 23,
2010410%592%159%206%329%Covenant ComplianceFinancial CovenantActual at
December 31,
2012Covenant
Requirement at
December 31,
2012Liquidity(1)(Greater of $5.0 million or 10% of total liabilities)Tangible Net Worth(Not less than $47.0 million plus 50% of annual net income and 50% of additional future capital contributions and net proceeds
from equity offerings after December 31, 2011)Maximum Total Liabilities to Tangible Net Worth Ratio<1.5(Not in excess of 1.5:1.0)DebtTotal capitalRatio of debt-to-capital(1)27.8%7.7%Less: cash and cash equivalentsNet debtRatio of net debt-to-capital(2)20.1%Contractual Obligations TablePayments Due by PeriodContractual ObligationsLess Than 1
Year1-3 Years4-5 YearsAfter 5
YearsLong-term debt principal payments(1)Long-term debt interest paymentsOperating leases(2)Purchase obligations(3)Total liabilities measured at fair valueExpected Maturity DateDecember 31,ThereafterEstimated
Fair
ValueLiabilities:201520162017Variable rate debt(1)Average interest rate5.3%4.0%5.2%Fiscal 2012 Summary Compensation TableName and Principal PositionYearSalary ($)Bonus ($)Stock
Awards
($)(1)All
Other
Compensation ($)Total ($)Mr. Douglas F. BauerChief Executive OfficerMr. Thomas J. MitchellPresident, Chief Operating Officer and SecretaryMr. Michael D. GrubbsChief Financial Officer and TreasurerOutstanding Equity Awards as of December 31, 2012Incentive
Units(1)NameNumber of
Units That Have
Not Vested(#)(2)Fair Value of
Units That Have
Not Vested($)Mr. Thomas J. MitchellMr. Michael D. GrubbsName and Address of Beneficial OwnerShares
Beneficially
OwnedPercentageDirectors and Executive Officers:Mr. Barry S. Sternlicht(5)37.9%Mr. Douglas F. Bauer(1)Mr. Thomas J. Mitchell(2)Mr. Michael D. Grubbs(3)1.6%Mr. J. Marc Perrin*Mr. Richard D. Bronson(4)Mr. Wade H. Cable(4)Mr. Steven J. Gilbert(4)Mr. Thomas B. Rogers(4)All directors, director nominees and executive officers as a group (9 persons)44.0%5% or more Stockholder:VIII/TPC Holdings, L.L.C.(5)(6)Audit and All Other FeesFiscal
2012Fiscal
2011Audit Fees(1)Audit-Related Fees(2)Tax Fees(3)All Other Fees(4)Total FeesTRI Pointe Homes, LLC and TRI Pointe Homes, LLC Predecessor:Report of Independent AuditorsF-2Consolidated Balance Sheets as of December 31, 2012 and 2011F-3Consolidated Statements of Operations for the Years Ended December
31, 2012 and 2011, and from September 24, 2010 (Inception) through December 31, 2010, and from January 1, 2010 through September 23, 2010F-4Consolidated Statements of Members Equity for the Years Ended December
31, 2012 and 2011, and from September 24, 2010 (Inception) through December 31, 2010F-5Consolidated Statements of Members Equity from January 1, 2010 through September 23,
2010F-6Consolidated Statements of Cash Flows for the Years Ended December
31, 2012 and 2011, and from September 24, 2010 (Inception) through December 31, 2010, and from January 1, 2010 through September 23, 2010F-7Notes to Consolidated Financial Statements for the Years Ended December
31, 2012 and 2011, and from September 24, 2010 (Inception) through December 31, 2010, and from January 1, 2010 through September 23, 2010F-8INDEX TO CONSOLIDATED FINANCIAL STATEMENTSHistorical Financial Statements:Consolidated Statement of Members Equity from January 1, 2010 through September 23,
2010Notes to Consolidated Financial Statements for the Year Ended December
31, 2012 and 2011, and from September 24, 2010 (Inception) through December 31, 2010, and from January 1, 2010 through September 23, 2010CONSOLIDATED BALANCE SHEETSAssetsContracts and accounts receivableContracts intangible, netOther assetsLiabilities and members equityAccounts payable and accrued liabilitiesCommitments and contingencies (Note 7)CONSOLIDATED STATEMENTS OF OPERATIONSPeriod
From
January 1,
2010
Through
September 23,Proforma income (loss) per share (Note 10)CONSOLIDATED STATEMENTS OF MEMBERS’ EQUITYVIII/TPC
Holdings,
L.L.C.Minority
MembersManagement
Incentive
UnitsTotal
Members
EquityBalance at September 24, 2010 (inception)ContributionsFinancial advisory fee paid on capital raisedAmortization of equity based incentive units (Note 8)Net lossBalance at December 31, 2010Balance at December 31, 2011Net incomeBalance at December 31, 2012CONSOLIDATED STATEMENT OF MEMBERS’ EQUITYBalance at January 1, 2010Balance at September 23, 2010CONSOLIDATED STATEMENTS OF CASH FLOWSPeriod
From
September
24,
2010
(Inception)
Through
December 31,Period
From
January
1,
2010
Through
September
23,Cash flows from operating activitiesAdjustments to reconcile net income (loss) to net cash used in operating activities:Amortization of contracts intangibleDepreciationAmortization of equity based incentive unitsChanges in operating assets and liabilities:Net cash used in operating activitiesCash flows from investing activitiesPurchases of furniture and equipmentNet cash used in investing activitiesCash flows from financing activitiesCash contributions from memberBorrowings from notes payableRepayments of notes payableCash contributed at formationNet cash provided by financing activitiesNet increase (decrease) in cash and cash equivalentsCash and cash equivalentsbeginning of periodCash and cash equivalentsend of periodSupplemental disclosure of cash flow informationInterest paid, net of amounts capitalizedSupplemental disclosure of noncash transactionsAssets contributed and liabilities assumed at formation of the Company:Real estate projects held for development and saleContracts intangible and other assetsNotes payable secured by real estate projectsWarranty ReservesYear Ended December 31,Warranty reserves, beginning of periodWarranty reserves accruedWarranty expendituresWarranty reserves, end of periodInventories owned:Deposits and pre-acquisition costsLand held and land under developmentHomes completed or under constructionModel homesInterest CapitalizationInterest incurredInterest expensedCapitalized interest in beginning inventoryInterest capitalized as a cost of inventoryInterest previously capitalized as a cost of inventory, included in cost of salesCapitalized interest in ending inventoryBusiness CombinationContracts intangibleBeginning accumulated amortizationAmortization expenseEnding accumulated amortizationAccounts payable and accrued expensesAccrued payroll liabilitiesWarranty reserves (Note 1)Revolving credit facilityAcquisition and development loansConstruction loansFinancial InstrumentsLiabilities at Fair Value as of December 31, 2012Level 1Level 2Level 3Liabilities at Fair Value as of December 31, 2011Segment ReportingRevenuesGross profitContracts intangible amortization (included in cost of sales)Net income (loss) as reportedPro forma weighted-average shares to reflect the conversion of members equityPro forma weighted-average shares used to compute pro forma basic and diluted net income (loss) per shareSECTION 12.04TRI POINTE HOMES, INC.By:/s/ Douglas F. BauerName:Douglas F. BauerTitle:Chief Executive Officer and DirectorNOW THEREFOREIf to the Company:TRI Pointe Homes, Inc.19520 Jamboree Road, Suite 200Irvine, CA 92612Attention: Chairperson, Board of DirectorsTelecopy: (949) 478-8601If to the ExecutiveAt the most recent address on file with the Company“Subsidiary”Person (Common Unit Holder)Number of
Common Units
Owned by
such PersonProportion Allocation Percentage
for Issued Common Stock
Forfeited or Lost
by an Executive
Pursuant to Section 9(c)
(Equal to Percentage
Ownership
of Common Units)1VIII/TPC Holdings, L.L.C. (Investor)93.82805%BMG Homes, Inc. (f/k/a TRI Pointe Homes, Inc.)2.52071%Bauer Revocable Trust0.80251%Grubbs Family Trust0.22060%Mitchell Family TrustFrankel Associates, L.P.1.82562%TOTAL100.00000%Attention: Chairperson, Board of DirectorsTelecopy: (949) 478-8601If to the Executive:Thomas J. MitchellGENERAL RELEASENumber of
Common
Units
Owned by
such PersonProportion Allocation
Percentage
for Issued Common Stock
Forfeited or Lost
by an Executive
Pursuant to Section 9(c)
(Equal
to Percentage Ownership
of Common Units)1Telecopy: (949) 478-8601Michael D. GrubbsO PTION A WARD N OTICEOption:You have been awarded a Nonqualified Stock Option to purchase from the Company [insert number] shares of its Common Stock, par value $0.01 per share, subject to adjustment as
provided in Section 3.4 of the Agreement.Option Date:,Exercise Price:$ per share, subject to adjustment as provided in Section 3.4 of the Agreement.Vesting Schedule:Except as otherwise provided in the Plan, Agreement or any other agreement between the Company and Optionee, the Option shall vest (i) on the first anniversary of the Option Date
with respect to one-third of the number of shares subject thereto on the Option Date, rounded down to the nearest whole share, (ii) on the second anniversary of the Option Date with respect to an additional one-third of the number of Options subject
thereto on the Option Date, rounded up to the nearest whole share and (iii) on the third anniversary of the Option Date with respect to the remaining shares subject thereto on the Option Date, provided you remain continuously employed by the Company
or a Subsidiary through the applicable vesting date.Expiration Date:Except to the extent earlier terminated pursuant to Section 2.2 of the Agreement or earlier exercised pursuant to Section 2.3 of the Agreement, the Option shall terminate at 5:00
p.m., Pacific time, on the tenth anniversary of the Option Date.OptioneeDateATTENTION: CHIEF FINANCIAL OFFICER19520 JAMBOREE ROAD, SUITE 200IRVINE, CALIFORNIA 92612R ESTRICTED S TOCK U NIT A WARD A GREEMENTAccepted this day of ,
20N ON -E MPLOYEE D IRECTOR R ESTRICTED S TOCK U NIT A WARD A GREEMENTList of Subsidiaries of TRI Pointe Homes, Inc.TRI Pointe Communities, Inc. (Delaware)TRI Pointe Contractors, LP (Delaware)TRI Renew, Inc. (Delaware)TRI Pointe Homes INCDate: March 28, 2013Chief Executive Officer (Principal Executive Officer)/s/ Michael D. GrubbsChief Financial Officer (Principal Financial Officer)PK ! D80 0 docProps/app.xml
Microsoft Excel0falseWorksheets67description of completed powned and controlled lotsitem 6 selected financialitem 6 selected financial -1consolidated financial datanet new home orders and bahome sales revenue and newhomebuildingfee buildingselling general and adminilots owned and controllednet new home orders and ba-1home sales revenue and new-1homebuilding-1fee building-1selling general and admini-1lots owned and controlled-1net new home orders and ba-2home sales revenue and new-2fee building-2selling general and admini-2lots owned and controlled-2covenant compliancecovenant compliance-1contractual obligations tacontractual obligations ta-1fiscal 2012 summary compenoutstanding equity awardsoutstanding equity awards -1audit and all other feestri pointe homes llc and tindex to consolidated finaconsolidated balance sheetsoperationsmembers equityconsolidated statement ofcash flowswarranty reserveswarranty reserves-1interest capitalizationbusiness combinationbusiness combination-1business combination-2financial instrumentsfinancial instruments-1segment reportingsegment reporting-1segment reporting-2section 1204now thereforesubsidiarynow therefore-1general releasenow therefore-2general release-1o ption a ward n oticeo ption a ward n otice-1o ption a ward n otice-2r estricted s tock u nit ar estricted s tock u nit a-1n on e mployee d irector rn on e mployee d irector r-1list of subsidiaries of trtri pointe homes inctri pointe homes inc-1tri pointe homes inc-2tri pointe homes inc-3falsefalsefalse12.0000PK ! !
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