# EDGAR Filing Document

**Accession Number:** 0001831631
**File Stem:** 0001831631-23-000051
**Filing Date:** 2023-3
**Character Count:** 7219
**Document Hash:** 4f72fbe52cb6207ce11d0722ffc23525
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001831631-23-000051.hdr.sgml**: 20230301

**ACCESSION NUMBER**: 0001831631-23-000051

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230216

**FILED AS OF DATE**: 20230301

**DATE AS OF CHANGE**: 20230301

**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:** 23696186

**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:** 853948939
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 6561 IRVINE CENTER DRIVE
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92618
- **BUSINESS PHONE:** (949) 434-5964

**MAIL ADDRESS:**
- **STREET 1:** 6561 IRVINE CENTER DRIVE
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92618

### 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>Carrillo Nicole<br><sub>(Last) (First) (Middle)</sub><br>C/O LOANDEPOT, INC.<br>6561 IRVINE CENTER DR.<br><sub>(Street)</sub><br>IRVINE, CA 92618<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-16 | **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>_EVP & Chief Accounting Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>loanDepot, Inc. [ LDI ] | **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 |
| Class A Common Stock, par value $0.001 per share | 2023-02-16<sup>(1)</sup> |  | M |  | 11212 | A | <sup>(2)</sup> | 243027 | D |  |
| Class A Common Stock, par value $0.001 per share | 2023-02-16<sup>(1)</sup> |  | F |  | 3878 | D<sup>(3)</sup> | $2.24 | 239149 | D |  |
| Class A Common Stock, par value $0.001 per share | 2023-02-27 |  | S<sup>(4)</sup> |  | 20000 | D | 2.0334<sup>(5)</sup> | 219149 | 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>(2)</sup> | 2023-02-16<sup>(1)</sup> |  | M |  |  | 11212 | <sup>(6)</sup> | <sup>(6)</sup> | Class A Common Stock | 11212.0 | $0 | 33639 | D |  |

---

### Footnotes:

(1) This transaction was an exempt transaction on February 16, 2023, which is being reported late by the Reporting Person due to an inadvertent administrative error.

(2) 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.

(3) Shares withheld to satisfy tax withholding obligations arising from settlement of restricted stock units.

(4) The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 29, 2022.

(5) 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.

(6) Restricted stock units were granted on February 16, 2021, with 11,212 vesting on each of February 16, 2022, February 16, 2023 and February 16, 2024, and 11,213 vesting on each of February 16, 2025 and February 16, 2026.

**Signature:** /s/  Nicole Carrillo  
**Date:** 2023-03-01

### 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.**