Patrick Joseph Duffy - 28 Nov 2025 Form 4 Insider Report for Guild Holdings Co (GHLD)

Role
Director, 10%+ Owner
Signature
/s/ Bella Guerrero, Attorney-in-Fact for Patrick Joseph Duffy
Issuer symbol
GHLD
Transactions as of
28 Nov 2025
Net transactions value
$0
Form type
4
Filing time
28 Nov 2025, 12:05:42 UTC
Previous filing
04 Sep 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Duffy Patrick Joseph Director, 10%+ Owner 5887 COPLEY DRIVE, SAN DIEGO /s/ Bella Guerrero, Attorney-in-Fact for Patrick Joseph Duffy 28 Nov 2025 0001827828

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GHLD Class A Common Stock Disposed to Issuer -78,058 -100% 0 28 Nov 2025 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GHLD Restricted Stock Units Disposed to Issuer -11,292 -100% 0 28 Nov 2025 Common Stock 11,292 Direct F2
transaction GHLD Dividend Equivalent Units Disposed to Issuer -142 -100% 0 28 Nov 2025 Common Stock 142 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Patrick Joseph Duffy is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 On June 17, 2025, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") among Gulf MSR HoldCo, LLC, Gulf MSR Merger Sub Corporation, and the Issuer, pursuant to which, at the Effective Time (as defined in the Merger Agreement), all outstanding shares of common stock of the Issuer were converted to the right to receive $20.00 per share in cash (the "Merger Consideration").
F2 Pursuant to the Merger Agreement, at the Effective Time, each outstanding award of RSUs was canceled and converted into the right to receive the Merger Consideration of $20.00 per share multiplied by the total number of shares underlying the RSU award.
F3 Represents Dividend Equivalent Units ("DEUs") paid on outstanding RSUs, rounded to the nearest whole share, and subject to the same terms and canceled and converted pursuant to the Merger Agreement on the same terms as the underlying RSUs.