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Filing Details

Accession Number:: 0000899243-20-029369
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-10-27 21:50:10
Reporting Period:: 2020-10-26

Accepted Time:: 2020-10-27 21:50:10
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1821160	Guild Holdings Co	GHLD	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1641921	Mccarthy Capital Mortgage Investors, Llc	1601 Dodge Street, Suite 3800 Omaha NE 68102	No	No	Yes	No
1829347	Mccarthy Partners Management, Llc	1601 Dodge Street, Suite 3800 Omaha NE 68012	No	No	Yes	No
1829348	Mccarthy Partners, Llc	1601 Dodge Street, Suite 3800 Omaha NE 68102	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock, Par Value $0.01 Per Share	Acquisiton	2020-10-26	4,900,272	$0.00	4,900,272	No	4	C	Indirect	See Footnote
Class A Common Stock, Par Value $0.01 Per Share	Disposition	2020-10-26	4,900,272	$14.03	0	No	4	S	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnote
No	4	S	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Class B Common Stock, par value $0.01 per share	Disposition	2020-10-26	4,900,272	$0.00	4,900,272	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
40,333,019			No	4	C	Indirect

Footnotes

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.
(Continued from Footnote 1) On October 26, 2020, MCMI directed the sale of 4,900,272 shares of its Class B Common Stock, resulting in the automatic conversion of those shares into Class A Common Stock.
Represents shares sold by MCMI upon the closing of the initial public offering of the Class A Common Stock of Guild Holdings Company at a net price per share of $14.025 (after underwriting discounts and commissions).
Includes 40,333,019 shares of Class B Common Stock of Guild Holdings Company which are held of record by MCMI. McCarthy Partners Management, LLC is the manager of MCMI and as such has voting and investment power over the shares of Class B Common Stock held by MCMI. McCarthy Partners Management, LLC is managed under the exclusive direction of McCarthy Partners, LLC. As a result, McCarthy Partners, LLC may be deemed to beneficially own these shares owned directly by MCMI. Patrick J. Duffy is the President and Managing Partner of McCarthy Partners, LLC and McCarthy Capital Management, LLC.