0001831631-21-000055.txt : 20210603 0001831631-21-000055.hdr.sgml : 20210603 20210603183537 ACCESSION NUMBER: 0001831631-21-000055 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210601 FILED AS OF DATE: 20210603 DATE AS OF CHANGE: 20210603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carrillo Nicole CENTRAL INDEX KEY: 0001843143 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40003 FILM NUMBER: 21994086 MAIL ADDRESS: STREET 1: C/O LOANDEPOT, INC. STREET 2: 26642 TOWNE CENTRE DRIVE CITY: FOOTHILL RANCH STATE: CA ZIP: 92610 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: loanDepot, Inc. CENTRAL INDEX KEY: 0001831631 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 26642 TOWNE CENTRE DRIVE CITY: FOOTHILL RANCH STATE: CA ZIP: 92610 BUSINESS PHONE: 888-337-6888 MAIL ADDRESS: STREET 1: 26642 TOWNE CENTRE DRIVE CITY: FOOTHILL RANCH STATE: CA ZIP: 92610 4 1 wf-form4_162275969823986.xml FORM 4 X0306 4 2021-06-01 0 0001831631 loanDepot, Inc. LDI 0001843143 Carrillo Nicole C/O LOANDEPOT, 25500 COMMERCENTRE DRIVE LAKE FOREST CA 92630 0 1 0 0 EVP & Chief Accounting OFficer Class A Common Stock, par value $0.001 per share 2021-06-01 4 C 0 11867 0 A 30555 D Common Units 2021-06-01 4 C 0 11867 0 D Class A Common Stock 11867.0 476224 I Trilogy Management Investors Six, LLC The Reporting Person has, and at all times since the Issuer's initial public offering has held, an indirect pecuniary interest in a portion of the securities of the Issuer and LD Holdings Group LLC ("LD Holdings") directly held by Trilogy Management Investors Six, LLC ("Trilogy Six") as reported on Anthony Hsieh's Form 4 filed on February 16, 2021. All of the securities of the Issuer held by Trilogy Six are directly reported by Trilogy Six and were not previously reported by the persons holding an indirect interest in the securities. The Reporting Person disclaims beneficial ownership of the securities held by Trilogy Six except to the extent of her pecuniary interest therein. In the reorganization transactions related to Issuer's IPO, shares of Issuer's Class C Common Stock, par value $0.001, were issued to certain holders of LD Holdings class a common units ("Common Units") equal to the number of Common Units held by such holders. Pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of LD Holdings, holders of Common Units may, subject to certain exceptions, from time to time require LD Holdings to redeem all or a portion of their Common Units (together with an equal number of shares of Class C Common Stock) in exchange for, at the Issuer's election (determined solely by a majority of the Issuer's directors who are disinterested), newly issued shares of Class A Common Stock, par value $0.001 ("Class A Common Stock") of the Issuer on a one-for-one basis or a cash payment equal to an average market price of one share of Class A Common Stock for each Common Unit so redeemed. The Reporting Person elected to cause Trilogy Six to exchange a portion of the Common Units beneficially owned by the Reporting Person for an equal number of shares of Class A Common Stock, and to cause Trilogy Six to transfer such shares of Class A Common Stock to her directly. The shares of Class C Common Stock corresponding to the Common Units that were exchanged were cancelled for no consideration. The cancellation of the shares of Class C Common Stock is reported by Trilogy Six on Anthony Hsieh's Form 4 filed on June 3, 2021. The amount of Common Units reported is net of 4,307 Common Units for which the Reporting Person received a cash distribution pursuant to a redemption on February 19, 2021, which redemption was timely reported on Anthony Hsieh's Form 4 filed on February 22, 2021 as a cancellation of the corresponding shares of Class C Common Stock. /s/ Peter Macdonald, as Attorney-in-Fact for Nicole Carrillo 2021-06-03