Carrillo Nicole's Form 4 filing
loanDepot, Inc. (LDI) · filed Mar 1, 2023
- Accession no.
- 0001831631-23-000051
- Filed
- Mar 1, 2023
- Trade date
- Feb 16-27, 2023
- Filing delay
- 13 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $40.6K. It was filed 13 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Carrillo NicoleCIK 0001843143 | Officer (EVP & Chief Accounting Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 16, 2023 | Class A Common Stock, par value $0.001 per share | MOption exerciseAcquired | +11,212 | –F2 | – | 243,027 | Direct | |
| Feb 16, 2023 | Class A Common Stock, par value $0.001 per share | FTax withholdingDisposed | −3,878 | $2.24 | −$8,686.72 | 239,149 | Direct | |
| Feb 27, 2023 | Class A Common Stock, par value $0.001 per share | SSaleDisposed | −20,000 | $2.03F5 | −$40,600 | 219,149 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 16, 2023 | Class A Common Stock | MOption exerciseDisposed | −11,212 | $0.00 | $0 | 33,639 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
Each restricted stock unit represents a contingent right to receive, at settlement, one share of Class A Common Stock or, at the option of the Compensation Committee, the cash value of one share of Class A Common Stock.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.00 to $2.06. The reporting person undertakes to provide the issuer,any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, specific trade amounts and pricing within the ranges set forth in this footnote of this Form 4 at which the respective transactions were effected.
Referenced by the price of 1 transaction in Table I.