4//SEC Filing
Duffy Patrick Joseph 4
Accession 0001827828-21-000002
CIK 0001821160other
Filed
May 9, 8:00 PM ET
Accepted
May 10, 4:51 PM ET
Size
7.7 KB
Accession
0001827828-21-000002
Insider Transaction Report
Form 4
Duffy Patrick Joseph
Director10% Owner
Transactions
- Award
Restricted Stock Units
2021-05-06$15.00/sh+10,000$150,000→ 26,667 total
Holdings
- 40,333,019(indirect: By LLC)
Class B Common Stock, par value $0.01 per share
→ Class A Common Stock, par value $0.01 per share (40,333,019 underlying)
Footnotes (3)
- [F1]Represents restricted stock units of Guild Holdings Company granted to Mr. Duffy, as a non-employee director, on an annual basis. Such restricted stock units will vest, generally subject to continued service on the Board of Directors, on the date of the following year's annual shareholder meeting.
- [F2]Shares of Class B Common Stock are convertible into shares of Class A Common Stock of Guild Holdings Company on a one-to-one basis at any time at the option of the holder. Guild Holdings Company's Amended and Restated Articles of Incorporation provides that, among other things, each share of Class B Common Stock will automatically convert into one share of Class A common stock (a) immediately prior to any sale or other transfer of such share by a holder of such share, subject to certain limited exceptions, such as transfers to permitted transferees, or (b) if McCarthy Capital Mortgage Investors ("MCMI"), any other investment funds affiliated with McCarthy Partners, LLC, and any company or other entity controlled by, controlling or under common control with MCMI or any such investment fund (other than any portfolio company) own shares of Class B Common Stock representing less than 10% of the aggregate number of shares of Guild Holdings Company's issued and outstanding common stock.
- [F3]Includes 40,333,019 shares of the Class B Common Stock of Guild Holdings Company which are held of record by MCMI and over which McCarthy Partners, LLC exercises voting and investment control. In his capacity as the President of McCarthy Partners, LLC, Mr. Duffy may be deemed to exercise voting and investment control over the shares of Class B Common Stock held by MCMI.
Documents
Issuer
Guild Holdings Co
CIK 0001821160
Entity typeother
Related Parties
1- filerCIK 0001827828
Filing Metadata
- Form type
- 4
- Filed
- May 9, 8:00 PM ET
- Accepted
- May 10, 4:51 PM ET
- Size
- 7.7 KB