Filing Details

*	The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

 

(1)	Includes options to purchase an aggregate of 400,000 shares of common stock of Green Brick Partners, Inc. (the "Issuer") that have vested or will vest within 60 days.

(2)	Based on 50,719,884 shares of common stock of the Issuer outstanding as of August 1, 2018, as disclosed in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on August 6, 2018.

Amendment No. 1 to Schedule 13D

The following constitutes Amendment No. 1 ("Amendment No. 1") to the Schedule 13D filed with the Securities and Exchange Commission ("SEC") by James R. Brickman on November 6, 2014. This Amendment No. 1 amends and supplements the Schedule 13D as specifically set forth herein.

All capitalized terms contained herein but not otherwise defined shall have the meanings ascribed to such terms in the Schedule 13D. Information given in response to each item shall be deemed incorporated by reference in all other items, as applicable.

ITEM 1.

Security and Issuer.

Item 1 of the Schedule 13D is hereby amended and restated as follows:

The class of equity security to which this statement on Schedule 13D relates is the common stock, par value $0.01 per share ("Common Stock"), of Green Brick Partners, Inc., a Delaware corporation (the "Issuer"). The address of the principal executive offices of the Issuer is 2805 Dallas Parkway, Suite 400, Plano, Texas 75093.

Item 2 of the Schedule 13D is hereby amended and restated as follows:

(a) The Reporting Person is James R. Brickman.

(b) The business address of the Reporting Person is:

2805 Dallas Parkway

Suite 400

Plano, Texas 75093

(c) The present occupation of the Reporting Person is as Chief Executive Officer and a Director of the Issuer. The address of the Issuer is included in Item 1 of this Schedule 13D and is incorporated herein by reference.

(d) The Reporting Person has not during the last five years been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).

(e) The Reporting Person has not during the last five years been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction nor is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

(f) The Citizenship of the Reporting Person is the United States of America.

Item 3 of Schedule 13D is supplemented and superseded, as the case may be, as follows:

Since the previous Schedule 13D filing, the Roger E. Brickman GST Marital Trust (the "Marital Trust") has purchased 7,500 shares of Common Stock for an aggregate purchase price of $52,674.75.  Mr. Brickman may be deemed to indirectly beneficially own shares of Common Stock directly held by the Marital Trust by virtue of his position as a co-trustee of the Marital Trust.

Since the previous Schedule 13D filing, the Brickman Living Trust (the "Living Trust") has purchased 40,000 shares of Common Stock for an aggregate purchase price of $348,983.50.  Mr. Brickman may be deemed to indirectly beneficially own shares of Common Stock directly held by the Living Trust by virtue of his position as the trustee and a potential beneficiary of the Living Trust.

Mr. Brickman disclaims beneficial ownership of the shares of Common Stock directly held by the Marital Trust and the Living Trust, and this Schedule 13D shall not be deemed an admission that Mr. Brickman is the beneficial owner of such securities for purposes of Section 13(d) or for any other purposes.

 

Item 5 of the Schedule 13D is hereby amended and restated as follows:

(a) and (b) Items 7 through 11 and 13 of the cover page of this Schedule 13D are incorporated herein by reference. Such information is based on 50,719,884 shares of Common Stock outstanding as of August 1, 2018, as disclosed in the Issuer's Form 10-Q filed with the Securities and Exchange Commission on August 6, 2018.  Of the shares of Common Stock reported as beneficially owned, 40,000 shares of Common Stock are held by the Marital Trust and 100,968 shares of Common Stock are held by the Living Trust.

The options to purchase an aggregate of 400,000 shares of Common Stock held by Mr. Brickman (the "Options") that have vested or will vest within 60 days were previously disclosed in Item 4 of this Schedule 13D.  Such Options have an exercise price of $7.4861 per share and expire on October 27, 2024.

Mr. Brickman is no longer a co-trustee of the L. Loraine Brickman Revocable Trust (the "Revocable Trust") and therefore no longer may be deemed to beneficially own shares of Common Stock held directly by the Revocable Trust.

 

(c)	There have been no other transactions in the class of securities reported on that were effected within the past 60 days.

 

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

October 5, 2018

 

 

	/s/ James R. Brickman
	James R. Brickman