Form 4 loanDepot, Inc. For: Feb 11 Filed by: Trilogy Management Investors Eight, LLC
February 16, 2021 9:49 PM EST
| FORM
4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities
Exchange Act of 1934
or Section 30(h) of the Investment Company Act of
1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
|
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
|
1. Name and Address of Reporting Person
*
(Street)
|
2. Issuer Name
and
Ticker or Trading Symbol
loanDepot, Inc.
[
LDI
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
X |
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| Chief Executive Officer |
|
3. Date of Earliest Transaction
(Month/Day/Year)
02/11/2021
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check
Applicable Line)
|
Form filed by One Reporting Person |
| X |
Form filed by More than One Reporting
Person |
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned |
|---|
| 1.
Title of Security (Instr.
3)
|
2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction Code (Instr.
8)
|
4.
Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
|
5.
Amount of Securities Beneficially Owned Following Reported
Transaction(s) (Instr.
3 and 4)
|
6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
7.
Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
Amount |
(A) or (D) |
Price |
|
Class C Common Stock, par value $0.001 per share
|
02/11/2021 |
|
J |
|
8,241,715
|
A
|
|
8,241,715
|
I
|
By JLSSAA Family Trust
|
|
Class C Common Stock, par value $0.001 per share
|
02/11/2021 |
|
J |
|
4,378,064
|
A
|
|
4,378,064
|
I
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By JLSA, LLC
|
|
Class C Common Stock, par value $0.001 per share
|
02/11/2021 |
|
J |
|
49,712,850
|
A
|
|
49,712,850
|
I
|
By Trilogy Mortgage Holdings, Inc.
|
|
Class C Common Stock, par value $0.001 per share
|
02/11/2021 |
|
J |
|
114,218,620
|
A
|
|
114,218,620
|
I
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By Trilogy Management Investors Six, LLC
|
|
Class C Common Stock, par value $0.001 per share
|
02/11/2021 |
|
J |
|
18,924,666
|
A
|
|
18,924,666
|
I
|
By Trilogy Management Investors Seven, LLC
|
|
Class C Common Stock, par value $0.001 per share
|
02/11/2021 |
|
J |
|
2,504,289
|
A
|
|
2,504,289
|
I
|
By Trilogy Management Investors Eight, LLC
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
|
5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
|
6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
|
8. Price of Derivative Security (Instr.
5)
|
9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
|
10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
|
|
| Remarks: |
| Exhibit 99.1 Signatures |
|
/s/ Peter Macdonald, as Attorney-in-Fact for Anthony Li Hsieh |
02/16/2021 |
|
** Signature of Reporting Person |
Date |
|
See Signatures Included in Exhibit 99.1 |
02/16/2021 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
Exhibit 99.1
This Statement on Form 4 is filed jointly by the Reporting Persons listed below.
The principal business address of each of these Reporting Persons is 26642 Towne
Centre Drive, Foothill Ranch, California 92610.
Name of Designated Filer: Anthony Hsieh
Date of Event Requiring Statement: February 11, 2021
Issuer Name and Ticker or Trading Symbol: LDI
JLSA, LLC
By: /s/ Peter Macdonald
-----------------------------------
Name: Peter Macdonald, as Attorney-in-Fact for Anthony Hsieh
Title: Manager
The JLSSAA Trust, established September 4, 2014
By: /s/ Peter Macdonald
-----------------------------------
Name: Peter Macdonald, as Attorney-in-Fact for Anthony Hsieh
Title: Trustee
Trilogy Mortgage Holdings, Inc.
By: /s/ Peter Macdonald
-----------------------------------
Name: Peter Macdonald, as Attorney-in-Fact for Anthony Hsieh
Title: Manager
Trilogy Management Investors Six, LLC
By: /s/ Peter Macdonald
-----------------------------------
Name: Peter Macdonald, as Attorney-in-Fact for Anthony Hsieh
Title: Manager
Trilogy Management Investors Seven, LLC
By: /s/ Peter Macdonald
-----------------------------------
Name: Peter Macdonald, as Attorney-in-Fact for Anthony Hsieh
Title: Manager
Trilogy Management Investors Eight, LLC
By: /s/ Peter Macdonald
-----------------------------------
Name: Peter Macdonald, as Attorney-in-Fact for Anthony Hsieh
Title: Manager
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