4//SEC Filing
Duffy Patrick Joseph 4
Accession 0001827828-21-000004
CIK 0001821160other
Filed
Jun 1, 8:00 PM ET
Accepted
Jun 2, 4:07 PM ET
Size
8.4 KB
Accession
0001827828-21-000004
Insider Transaction Report
Form 4
Duffy Patrick Joseph
Director10% Owner
Transactions
- Award
Restricted Stock Units
2021-05-28$15.65/sh+1,704$26,668→ 28,371 total - Award
Class B Common Stock, par value $0.01 per share
2021-05-28+0→ 40,333,019 total(indirect: By LLC)→ Class A Common Stock, par value $0.01 per share (0 underlying)
Footnotes (3)
- [F1]Represents an adjustment to RSU holdings, pursuant to Section 5 of the Company's Restricted Stock Unit Agreement, resulting from the declaration of a cash dividend by the Board of Directors on May 6, 2021.
- [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
- Jun 1, 8:00 PM ET
- Accepted
- Jun 2, 4:07 PM ET
- Size
- 8.4 KB