# EDGAR Filing Document

**Accession Number:** 0001025424
**File Stem:** 0001140361-23-007047
**Filing Date:** 2023-2
**Character Count:** 6530
**Document Hash:** 99eaff58674b7e98f95511880b5ed8ed
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-23-007047.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001140361-23-007047

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230210

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** ELBAUM MARK
- **CENTRAL INDEX KEY:** 0001025424
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39964
- **FILM NUMBER:** 23631687
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Home Point Capital Inc.
- **CENTRAL INDEX KEY:** 0001830197
- **STANDARD INDUSTRIAL CLASSIFICATION:** MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162]
- **IRS NUMBER:** 901116426
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 2211 OLD EARHART ROAD
- **STREET 2:** SUITE 250
- **CITY:** ANN ARBOR
- **STATE:** MI
- **ZIP:** 48105
- **BUSINESS PHONE:** (888) 616-6866

**MAIL ADDRESS:**
- **STREET 1:** 2211 OLD EARHART ROAD
- **STREET 2:** SUITE 250
- **CITY:** ANN ARBOR
- **STATE:** MI
- **ZIP:** 48105

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>ELBAUM MARK<br><sub>(Last) (First) (Middle)</sub><br>C/O HOME POINT CAPITAL INC.,<br>2211 OLD EARHART ROAD, SUITE 250<br><sub>(Street)</sub><br>ANN ARBOR, MI 48105<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-10 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Financial Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Home Point Capital Inc. [ HMPT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-10 |  | M<sup>(1)</sup> |  | 10994 | A | $0 | 20536 | D |  |
| Common Stock | 2023-02-10 |  | F<sup>(2)</sup> |  | 5734 | D | $1.99 | 14802 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units | <sup>(3)</sup> | 2023-02-10 |  | M |  |  | 10994 | <sup>(4)</sup> | <sup>(4)</sup> | Common Stock | 10994 | $0 | 57298 | D |  |

---

### Footnotes:

(1) Represents settlement of restricted stock units ("RSUs") through the issuance of one share of the Issuer's common stock for each vested RSU.

(2) Shares of the Issuer's common stock withheld by the Issuer to satisfy the tax withholding requirement upon vesting of the RSUs. No shares of the Issuer's common stock were sold as part of this transaction.

(3) Each RSU represents a conditional right to receive one share of the Issuer's common stock. The RSUs will be settled in the Issuer's common stock or cash (or a combination thereof) at the discretion of the Issuer.

(4) 32,981 RSUs were granted on February 10, 2022, which vest over three years, with one-third of the grant vesting based on continued service through the first anniversary of February 10, 2022 and one-third of the grant vesting on each of the subsequent anniversaries of such date.

**Signature:** /s/ Jean Weng, Attorney-in-Fact  
**Date:** 2023-02-14

### Remarks:

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.**