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Filing Details

Accession Number:: 0000899243-20-029367
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-10-27 21:49:05
Reporting Period:: 2020-10-26

Accepted Time:: 2020-10-27 21:49:05
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1821160	Guild Holdings Co	GHLD	Mortgage Bankers & Loan Correspondents (6162)	852453154

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1827828	Joseph Patrick Duffy	C/O Guild Holdings Company 5887 Copley Drive San Diego CA 92111		Yes	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	By McCarthy Capital Mortgage Investors, LLC
Class A Common Stock, Par Value $0.01 Per Share	Disposition	2020-10-26	4,900,272	$14.03	0	No	4	S	Indirect	By McCarthy Capital Mortgage Investors, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By McCarthy Capital Mortgage Investors, LLC
No	4	S	Indirect	By McCarthy Capital Mortgage Investors, LLC

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 at a net price per share of $14.025 (after underwriting discounts and commissions).
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.