SEC FORM 4 SEC Form 4
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
 
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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*
Trident VI, L.P.

(Last) (First) (Middle)
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Home Point Capital Inc. [ HMPT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
02/02/2021
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
Common Stock 02/02/2021 S 3,798,956 D $12.155(1) 68,878,127 I See Footnotes(2)(6)(7)
Common Stock 02/02/2021 S 2,974,174 D $12.155(1) 53,924,166 I See Footnotes(3)(6)(7)
Common Stock 02/02/2021 S 63,033 D $12.155(1) 1,142,824 I See Footnotes(4)(6)(7)
Common Stock 02/02/2021 S 211,018 D $12.155(1) 3,825,918 I See Footnotes(5)(6)(7)
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
1. Name and Address of Reporting Person*
Trident VI, L.P.

(Last) (First) (Middle)
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Trident VI Parallel Fund, L.P.

(Last) (First) (Middle)
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Trident VI DE Parallel Fund, L.P.

(Last) (First) (Middle)
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Trident VI Professionals Fund, L.P.

(Last) (First) (Middle)
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Trident Capital VI, L.P.

(Last) (First) (Middle)
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Stone Point GP Ltd.

(Last) (First) (Middle)
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
1. Name and Address of Reporting Person*
STONE POINT CAPITAL LLC

(Last) (First) (Middle)
20 HORSENECK LANE

(Street)
GREENWICH CT 06830

(City) (State) (Zip)
Explanation of Responses:
1. This amount represents the $13.00 initial public offering price per share of Issuer common stock ("Common Stock") less the underwriting discount of $0.845 per share for shares sold in the Issuer's initial public offering.
2. Reflects securities held directly by Trident VI, L.P.
3. Reflects securities held directly by Trident VI Parallel Fund, L.P.
4. Reflects securities held directly by Trident VI DE Parallel Fund, L.P.
5. Reflects securities held directly by Trident VI Professionals Fund, L.P. (collectively, Trident VI, L.P., Trident VI Parallel Fund, L.P., Trident VI DE Parallel Fund, L.P. and Trident VI Professionals Fund, L.P. shall be referred to as the "Trident VI Partnerships").
6. The general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. is Trident Capital VI, L.P. The general partner of Trident VI Professionals Fund, L.P. is Stone Point GP Ltd. Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. and Stone Point GP Ltd. relating to the Trident VI Partnerships, provided that the delegated discretion to exercise voting rights may not be exercised on behalf of any of the Trident VI Partnerships without first receiving direction from the Investment Committee of Trident Capital VI, L.P. or a majority of the general partners of Trident Capital VI, L.P., or Stone Point GP Ltd., as applicable. The management agreements do not delegate any power with respect to the disposition of Common Stock held by the Trident VI Partnerships.
7. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.
TRIDENT VI, L.P., By: Trident Capital VI, L.P., its general partner, By: DW Trident VI, LLC, its general partner, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco Title: Vice President 02/04/2021
TRIDENT VI PARALLEL FUND, L.P., By: Trident Capital VI, L.P., its general partner, By: DW Trident VI, LLC, its general partner, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Vice President 02/04/2021
TRIDENT VI DE PARALLEL FUND, L.P., By: Trident Capital VI, L.P., its general partner, By: DW Trident VI, LLC, its general partner, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Vice President 02/04/2021
TRIDENT VI PROFESSIONALS FUND, L.P., By: Stone Point GP Ltd., its general partner, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Vice President 02/04/2021
TRIDENT CAPITAL VI, L.P., By: DW Trident VI, LLC, its general partner, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Vice President 02/04/2021
STONE POINT GP LTD., By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Vice President 02/04/2021
STONE POINT CAPITAL LLC, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Chief Compliance Officer 02/04/2021
** 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).
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