Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Permianville Royalty TrustNDRO · Entity 7105 | 10% owner | August 31, 2018 | September 10, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Permianville Royalty Trust
Report date August 31, 2018 · Filed September 10, 2018
Jointly reported with PERMIANVILLE HOLDINGS LLC, Permianville Intermediary LLC - Series 1, Permianville Intermediary LLC - Series 2, Permianville Intermediary LLC - Series 3, T-VI CO ES LP, T-VI CO ES GP LLC, Trident Capital VI, L.P., Cross Ocean USSS Fund I (A) (Cayman) LP, Cross Ocean USSS SIF I LP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Trust UnitsSEC Table I · non-derivative | IndirectSee footnotes | 8,600,000 |
Reported balance
Holding disclosure · report date 2018-08-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 8,600,000 F8: In connection with the closing of the transactions contemplated by the purchase and sale agreement, dated as of July 19, 2018, by and among Enduro Operating LLC ("Enduro") and COERT Holdings 1 LLC, for aggregate, gross consideration of $35,750,000, before the effects of customary purchase price adjustment, Enduro transferred, among other items, 8,600,000 Trust Units to Holdings. F1: Reflects securities held directly by Permianville Holdings LLC ("Holdings"). F2: Permianville Intermediary LLC - Series 1 ("Series 1 Intermediary"), Permianville Intermediary LLC - Series 2 ("Series 2 Intermediary"), Permianville Intermediary LLC - Series 3 ("Series 3 Intermediary") and Cross Ocean USSS Fund I (A) Del Feeder LP ("DE Feeder") are the sole members of Holdings. Cross Ocean USSS Fund I (A) (Cayman) LP ("Cayman Feeder"), Cross Ocean USSS SIF I LP ("Cross Ocean SIF") and T-VI Co ES LP are the sole members of each of Series 1 Intermediary, Series 2 Intermediary and Series 3 Intermediary. Cross Ocean USSS GP LP ("Cross Ocean GP") is the sole general partner of Cayman Feeder, DE Feeder and Cross Ocean SIF. Cross Ocean USSS GP Ltd ("Cross Ocean Ltd") is the sole general partner of Cross Ocean GP. F3: (Continuation from footnote 2) Cross Ocean Partners Management LP ("Cross Ocean Management") is the sole member of Cross Ocean Ltd. Cross Ocean Partners Management GP, LLC ("Management GP") is the sole general partner of Cross Ocean Management. GG Managers LLC ("GG Managers") is the sole member of Management GP. Graham Goldsmith is the sole member of GG Managers. T-VI Co ES GP LLC ("T-VI GP") is the sole general partner of T-VI Co ES LP. Trident VI, L.P. ("Trident VI") is the sole member of T-VI GP. Trident Capital VI, LP ("Trident Capital") is the sole general partner of Trident VI. F4: Series 1 Intermediary and Series 2 Intermediary can each be deemed to beneficially own 2,293,053 and Series 3 Intermediary can be deemed to beneficially own 2,293,052 trust units of the Issuer. DE Feeder can be deemed to beneficially own 1,720,842 trust units. Cayman Feeder can be deemed to beneficially own 1,165,871 trust units. Cross Ocean SIF can be deemed to beneficially own 2,233,017 of the Trust Units. T-VI Co ES LP, T-VI GP, Trident VI and Trident Capital can be deemed to beneficially own 3,480,270 of the Trust Units. Cross Ocean GP, Cross Ocean Ltd, Cross Ocean Management, Management GP and GG Managers can each be deemed to beneficially own 5,119,730 of the Trust Units. F5: Information with respect to each of the reporting persons is given solely by such reporting person, and no reporting person has responsibility for the accuracy or completeness of information supplied by another reporting person. F6: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. F7: Due to the limitations of the electronic filing system certain Reporting Persons are filing a separate Form 3. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects securities held directly by Permianville Holdings LLC ("Holdings").
F2: Permianville Intermediary LLC - Series 1 ("Series 1 Intermediary"), Permianville Intermediary LLC - Series 2 ("Series 2 Intermediary"), Permianville Intermediary LLC - Series 3 ("Series 3 Intermediary") and Cross Ocean USSS Fund I (A) Del Feeder LP ("DE Feeder") are the sole members of Holdings. Cross Ocean USSS Fund I (A) (Cayman) LP ("Cayman Feeder"), Cross Ocean USSS SIF I LP ("Cross Ocean SIF") and T-VI Co ES LP are the sole members of each of Series 1 Intermediary, Series 2 Intermediary and Series 3 Intermediary. Cross Ocean USSS GP LP ("Cross Ocean GP") is the sole general partner of Cayman Feeder, DE Feeder and Cross Ocean SIF. Cross Ocean USSS GP Ltd ("Cross Ocean Ltd") is the sole general partner of Cross Ocean GP.
F3: (Continuation from footnote 2) Cross Ocean Partners Management LP ("Cross Ocean Management") is the sole member of Cross Ocean Ltd. Cross Ocean Partners Management GP, LLC ("Management GP") is the sole general partner of Cross Ocean Management. GG Managers LLC ("GG Managers") is the sole member of Management GP. Graham Goldsmith is the sole member of GG Managers. T-VI Co ES GP LLC ("T-VI GP") is the sole general partner of T-VI Co ES LP. Trident VI, L.P. ("Trident VI") is the sole member of T-VI GP. Trident Capital VI, LP ("Trident Capital") is the sole general partner of Trident VI.
F4: Series 1 Intermediary and Series 2 Intermediary can each be deemed to beneficially own 2,293,053 and Series 3 Intermediary can be deemed to beneficially own 2,293,052 trust units of the Issuer. DE Feeder can be deemed to beneficially own 1,720,842 trust units. Cayman Feeder can be deemed to beneficially own 1,165,871 trust units. Cross Ocean SIF can be deemed to beneficially own 2,233,017 of the Trust Units. T-VI Co ES LP, T-VI GP, Trident VI and Trident Capital can be deemed to beneficially own 3,480,270 of the Trust Units. Cross Ocean GP, Cross Ocean Ltd, Cross Ocean Management, Management GP and GG Managers can each be deemed to beneficially own 5,119,730 of the Trust Units.
F5: Information with respect to each of the reporting persons is given solely by such reporting person, and no reporting person has responsibility for the accuracy or completeness of information supplied by another reporting person.
F6: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
F7: Due to the limitations of the electronic filing system certain Reporting Persons are filing a separate Form 3.
F8: In connection with the closing of the transactions contemplated by the purchase and sale agreement, dated as of July 19, 2018, by and among Enduro Operating LLC ("Enduro") and COERT Holdings 1 LLC, for aggregate, gross consideration of $35,750,000, before the effects of customary purchase price adjustment, Enduro transferred, among other items, 8,600,000 Trust Units to Holdings.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Focus Financial Partners Inc.
Report date August 31, 2023 · Filed August 31, 2023
Jointly reported with STONE POINT CAPITAL LLC, Trident FFP LP, Trident VI DE Parallel Fund, L.P., Trident VI Parallel Fund, L.P., Trident FFP GP LLC, Trident Capital VI, L.P.
Section 16 reporting ended · disclosed 2023-08-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 8,250,165 |
Reported balance
After 2023-08-31 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-08-31 · Exercise / conversion · Acquired 8,250,165 · Balance 8,250,165 F1: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F2: Limited liability company units of Focus Financial Partners, LLC, which were exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F3: These shares of Class A Common Stock are held by Trident FFP L.P. F8: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11: 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 were the beneficial owners of any securities reported herein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-08-31 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-08-31 · Disposition to issuer · Disposed 8,250,165 · Balance 0 F1: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F3: These shares of Class A Common Stock are held by Trident FFP L.P. F8: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11: 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 were the beneficial owners of any securities reported herein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-08-31 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-08-31 · Disposition to issuer · Disposed 955,755 · Balance 0 F1: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F4: These shares of Class A Common Stock are held by Trident VI, L.P. F9: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11: 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 were the beneficial owners of any securities reported herein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-08-31 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2023-08-31 · Disposition to issuer · Disposed 6,701,039 · Balance 0 F1: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F5: These shares of Class A Common Stock are held by Trident VI Parallel Fund, L.P. F9: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11: 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 were the beneficial owners of any securities reported herein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-08-31 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2023-08-31 · Disposition to issuer · Disposed 142,016 · Balance 0 F1: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F6: These shares of Class A Common Stock are held by Trident VI DE Parallel Fund, L.P. F9: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11: 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 were the beneficial owners of any securities reported herein. |
| Units of Focus Financial Partners, LLCSEC Table II · derivative / convertible security | IndirectSee Footnotes | 0 |
Reported balance
After 2023-08-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-08-31 · Exercise / conversion · Disposed 8,250,165 · Balance 0 F1: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F2: Limited liability company units of Focus Financial Partners, LLC, which were exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F7: Held by Trident FFP LP. F8: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11: 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 were the beneficial owners of any securities reported herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist.
F2: Limited liability company units of Focus Financial Partners, LLC, which were exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC.
F3: These shares of Class A Common Stock are held by Trident FFP L.P.
F4: These shares of Class A Common Stock are held by Trident VI, L.P.
F5: These shares of Class A Common Stock are held by Trident VI Parallel Fund, L.P.
F6: These shares of Class A Common Stock are held by Trident VI DE Parallel Fund, L.P.
F7: Held by Trident FFP LP.
F8: The sole general partner of Trident FFP LP is Trident FFP GP LLC.
F9: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P.
F10: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships.
F11: 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 were the beneficial owners of any securities reported herein.
Home Point Capital Inc.
Report date August 01, 2023 · Filed August 01, 2023
Jointly reported with Trident VI Parallel Fund, L.P., Trident VI DE Parallel Fund, L.P., Trident VI Professionals Fund, L.P., Trident Capital VI, L.P., Stone Point GP Ltd., STONE POINT CAPITAL LLC
Section 16 reporting ended · disclosed 2023-08-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-08-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-08-01 · Disposition to issuer · Disposed 68,878,127 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F2: Reflects securities held directly by Trident VI, L.P. F6: 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. F7: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-08-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-08-01 · Disposition to issuer · Disposed 53,924,166 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F3: Reflects securities held directly by Trident VI Parallel Fund, L.P. F6: 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. F7: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-08-01 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-08-01 · Disposition to issuer · Disposed 1,142,824 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F4: Reflects securities held directly by Trident VI DE Parallel Fund, L.P. F6: 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. F7: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2023-08-01 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2023-08-01 · Disposition to issuer · Disposed 3,825,918 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F5: 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"). F6: 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. F7: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding.
F2: Reflects securities held directly by Trident VI, L.P.
F3: Reflects securities held directly by Trident VI Parallel Fund, L.P.
F4: Reflects securities held directly by Trident VI DE Parallel Fund, L.P.
F5: 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").
F6: 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.
F7: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 31, 2023 Filed Aug 31, 2023 16:15 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | Exercise / conversionUnits of Focus Financial Partners, LLC · Derivative | 8,250,165 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-018620 · doc4.xml · derivative · entry 6 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Class A Common Stock · 8,250,165 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F2 · derivative.exercise_price: Limited liability company units of Focus Financial Partners, LLC, which were exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F1 · kind: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F2 · derivative.exercise_date: Limited liability company units of Focus Financial Partners, LLC, which were exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F2 · derivative.expiration_date: Limited liability company units of Focus Financial Partners, LLC, which were exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F7 · ownership.nature: Held by Trident FFP LP. F8 · ownership.nature: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11 · ownership.nature: 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 were the beneficial owners of any securities reported herein. Read SEC document |
| August 31, 2023 Filed Aug 31, 2023 16:15 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | Disposition to issuerClass A Common Stock | 142,016 | $53.00 | $7,526,848.00 |
DisclosureSEC source: 0000899243-23-018620 · doc4.xml · nonDerivative · entry 5 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F1 · price: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F6 · ownership.nature: These shares of Class A Common Stock are held by Trident VI DE Parallel Fund, L.P. F9 · ownership.nature: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10 · ownership.nature: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11 · ownership.nature: 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 were the beneficial owners of any securities reported herein. Read SEC document |
| August 31, 2023 Filed Aug 31, 2023 16:15 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | Disposition to issuerClass A Common Stock | 6,701,039 | $53.00 | $355,155,067.00 |
DisclosureSEC source: 0000899243-23-018620 · doc4.xml · nonDerivative · entry 4 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F1 · price: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F5 · ownership.nature: These shares of Class A Common Stock are held by Trident VI Parallel Fund, L.P. F9 · ownership.nature: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10 · ownership.nature: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11 · ownership.nature: 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 were the beneficial owners of any securities reported herein. Read SEC document |
| August 31, 2023 Filed Aug 31, 2023 16:15 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | Disposition to issuerClass A Common Stock | 955,755 | $53.00 | $50,655,015.00 |
DisclosureSEC source: 0000899243-23-018620 · doc4.xml · nonDerivative · entry 3 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F1 · price: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F4 · ownership.nature: These shares of Class A Common Stock are held by Trident VI, L.P. F9 · ownership.nature: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10 · ownership.nature: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11 · ownership.nature: 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 were the beneficial owners of any securities reported herein. Read SEC document |
| August 31, 2023 Filed Aug 31, 2023 16:15 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | Disposition to issuerClass A Common Stock | 8,250,165 | $53.00 | $437,258,745.00 |
DisclosureSEC source: 0000899243-23-018620 · doc4.xml · nonDerivative · entry 2 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F1 · price: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F3 · ownership.nature: These shares of Class A Common Stock are held by Trident FFP L.P. F8 · ownership.nature: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11 · ownership.nature: 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 were the beneficial owners of any securities reported herein. Read SEC document |
| August 31, 2023 Filed Aug 31, 2023 16:15 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | Exercise / conversionClass A Common Stock | 8,250,165 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-018620 · doc4.xml · nonDerivative · entry 1 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 8,250,165 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F2 · kind: Limited liability company units of Focus Financial Partners, LLC, which were exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F1 · price: Focus Financial Partners Inc. (the "Issuer") was acquired by Ferdinand FFP Acquisition, LLC pursuant to an Agreement and Plan of Merger dated as of February 27, 2023, pursuant to which (i) limited liability company units of Focus Financial Partners, LLC were exchanged for shares of Class A common stock ("Class A Common Stock") of the Issuer on a one for one basis and a corresponding number of shares of Class B common stock ("Class B Common Stock") of the Issuer were surrendered to the Issuer for cancellation, (ii) each share of Class A Common Stock (other than certain excluded shares) was converted into the right to receive $53.00 in cash, and (iii) each share of Class B Common Stock of the Issuer was cancelled and ceased to exist. F2 · price: Limited liability company units of Focus Financial Partners, LLC, which were exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F3 · ownership.nature: These shares of Class A Common Stock are held by Trident FFP L.P. F8 · ownership.nature: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11 · ownership.nature: 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 were the beneficial owners of any securities reported herein. Read SEC document |
| August 01, 2023 Filed Aug 1, 2023 16:05 UTC | Home Point Capital Inc. HMPT · Entity 110966 | Disposition to issuerCommon Stock | 3,825,918 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-037371 · form4.xml · nonDerivative · entry 4 Trident VI, L.P. · CIK 0001593010 · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · 10% owner Trident VI Professionals Fund, L.P. · CIK 0001593375 · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · 10% owner Stone Point GP Ltd. · CIK 0001492231 · 10% owner STONE POINT CAPITAL LLC · CIK 0001332638 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F1 · acquired: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F5 · ownership.nature: 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"). F6 · ownership.nature: 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. F7 · ownership.nature: 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. Read SEC document |
| August 01, 2023 Filed Aug 1, 2023 16:05 UTC | Home Point Capital Inc. HMPT · Entity 110966 | Disposition to issuerCommon Stock | 1,142,824 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-037371 · form4.xml · nonDerivative · entry 3 Trident VI, L.P. · CIK 0001593010 · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · 10% owner Trident VI Professionals Fund, L.P. · CIK 0001593375 · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · 10% owner Stone Point GP Ltd. · CIK 0001492231 · 10% owner STONE POINT CAPITAL LLC · CIK 0001332638 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F1 · acquired: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F4 · ownership.nature: Reflects securities held directly by Trident VI DE Parallel Fund, L.P. F6 · ownership.nature: 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. F7 · ownership.nature: 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. Read SEC document |
| August 01, 2023 Filed Aug 1, 2023 16:05 UTC | Home Point Capital Inc. HMPT · Entity 110966 | Disposition to issuerCommon Stock | 53,924,166 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-037371 · form4.xml · nonDerivative · entry 2 Trident VI, L.P. · CIK 0001593010 · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · 10% owner Trident VI Professionals Fund, L.P. · CIK 0001593375 · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · 10% owner Stone Point GP Ltd. · CIK 0001492231 · 10% owner STONE POINT CAPITAL LLC · CIK 0001332638 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F1 · acquired: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F3 · ownership.nature: Reflects securities held directly by Trident VI Parallel Fund, L.P. F6 · ownership.nature: 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. F7 · ownership.nature: 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. Read SEC document |
| August 01, 2023 Filed Aug 1, 2023 16:05 UTC | Home Point Capital Inc. HMPT · Entity 110966 | Disposition to issuerCommon Stock | 68,878,127 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-037371 · form4.xml · nonDerivative · entry 1 Trident VI, L.P. · CIK 0001593010 · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · 10% owner Trident VI Professionals Fund, L.P. · CIK 0001593375 · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · 10% owner Stone Point GP Ltd. · CIK 0001492231 · 10% owner STONE POINT CAPITAL LLC · CIK 0001332638 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F1 · acquired: Pursuant to the Agreement and Plan of Merger, dated as of May 10, 2023, by and among Home Point Capital Inc., Mr. Cooper Group Inc. and Heisman Merger Sub, Inc., each share of the Issuer's common stock was exchanged for the right to receive a cash payment of $2.33 without interest, and subject to any required tax withholding. F2 · ownership.nature: Reflects securities held directly by Trident VI, L.P. F6 · ownership.nature: 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. F7 · ownership.nature: 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. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 13:14 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | ConversionUnits of Focus Financial Partners, LLC · Derivative | 351,220 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-012494 · doc4.xml · derivative · entry 6 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,250,165 Underlying: Class A Common Stock · 351,220 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F1 · derivative.exercise_price: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F1 · derivative.exercise_date: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F1 · derivative.expiration_date: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F7 · ownership.nature: Held by Trident FFP LP. F8 · ownership.nature: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11 · ownership.nature: 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. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 13:14 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | SaleClass A Common Stock | 6,046 | $46.20 | $279,325.20 |
DisclosureSEC source: 0000899243-21-012494 · doc4.xml · nonDerivative · entry 5 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 142,016 F2 · price: This amount represents the $48.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.80 per share of Class A Common Stock. F6 · ownership.nature: These shares of Class A Common Stock are held by Trident VI DE Parallel Fund, L.P. F9 · ownership.nature: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10 · ownership.nature: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11 · ownership.nature: 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. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 13:14 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | SaleClass A Common Stock | 285,272 | $46.20 | $13,179,566.40 |
DisclosureSEC source: 0000899243-21-012494 · doc4.xml · nonDerivative · entry 4 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,701,039 F2 · price: This amount represents the $48.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.80 per share of Class A Common Stock. F5 · ownership.nature: These shares of Class A Common Stock are held by Trident VI Parallel Fund, L.P. F9 · ownership.nature: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10 · ownership.nature: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11 · ownership.nature: 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. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 13:14 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | SaleClass A Common Stock | 40,688 | $46.20 | $1,879,785.60 |
DisclosureSEC source: 0000899243-21-012494 · doc4.xml · nonDerivative · entry 3 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 955,755 F2 · price: This amount represents the $48.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.80 per share of Class A Common Stock. F4 · ownership.nature: These shares of Class A Common Stock are held by Trident VI, L.P. F9 · ownership.nature: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10 · ownership.nature: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11 · ownership.nature: 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. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 13:14 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | SaleClass A Common Stock | 351,220 | $46.20 | $16,226,364.00 |
DisclosureSEC source: 0000899243-21-012494 · doc4.xml · nonDerivative · entry 2 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F2 · price: This amount represents the $48.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.80 per share of Class A Common Stock. F3 · ownership.nature: These shares of Class A Common Stock are held by Trident FFP LP. F8 · ownership.nature: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11 · ownership.nature: 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. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 13:14 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | ConversionClass A Common Stock | 351,220 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-012494 · doc4.xml · nonDerivative · entry 1 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 351,220 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F3 · ownership.nature: These shares of Class A Common Stock are held by Trident FFP LP. F8 · ownership.nature: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11 · ownership.nature: 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:45 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | ConversionUnits of Focus Financial Partners, LLC · Derivative | 1,296,885 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-009897 · doc4.xml · derivative · entry 6 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,601,385 Underlying: Class A Common Stock · 1,296,885 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F1 · derivative.exercise_price: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F1 · derivative.exercise_date: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F1 · derivative.expiration_date: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F7 · ownership.nature: Held by Trident FFP LP. F8 · ownership.nature: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11 · ownership.nature: 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:45 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | SaleClass A Common Stock | 41,257 | $46.20 | $1,906,073.40 |
DisclosureSEC source: 0000899243-21-009897 · doc4.xml · nonDerivative · entry 5 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 148,062 F2 · price: This amount represents the $48.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.80 per share of Class A Common Stock. F6 · ownership.nature: These shares of Class A Common Stock are held by Trident VI DE Parallel Fund, L.P. F9 · ownership.nature: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10 · ownership.nature: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11 · ownership.nature: 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:45 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | SaleClass A Common Stock | 1,946,670 | $46.20 | $89,936,154.00 |
DisclosureSEC source: 0000899243-21-009897 · doc4.xml · nonDerivative · entry 4 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,986,311 F2 · price: This amount represents the $48.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.80 per share of Class A Common Stock. F5 · ownership.nature: These shares of Class A Common Stock are held by Trident VI Parallel Fund, L.P. F9 · ownership.nature: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10 · ownership.nature: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11 · ownership.nature: 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:45 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | SaleClass A Common Stock | 277,650 | $46.20 | $12,827,430.00 |
DisclosureSEC source: 0000899243-21-009897 · doc4.xml · nonDerivative · entry 3 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 996,443 F2 · price: This amount represents the $48.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.80 per share of Class A Common Stock. F4 · ownership.nature: These shares of Class A Common Stock are held by Trident VI, L.P. F9 · ownership.nature: The sole general partner of each of Trident VI, L.P., Trident VI Parallel Fund, L.P. and Trident VI DE Parallel Fund, L.P. (collectively, the "Trident VI Partnerships") is Trident Capital VI, L.P. F10 · ownership.nature: Pursuant to certain management agreements, Stone Point Capital LLC has received delegated authority by Trident Capital VI, L.P. 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. The management agreements do not delegate any power with respect to the disposition of Class A Common Stock or Class B Common Stock held by the Trident VI Partnerships. F11 · ownership.nature: 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:45 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | SaleClass A Common Stock | 2,396,693 | $46.20 | $110,727,216.60 |
DisclosureSEC source: 0000899243-21-009897 · doc4.xml · nonDerivative · entry 2 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F2 · price: This amount represents the $48.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.80 per share of Class A Common Stock. F3 · ownership.nature: These shares of Class A Common Stock are held by Trident FFP LP. F8 · ownership.nature: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11 · ownership.nature: 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:45 UTC | Focus Financial Partners Inc. FOCS · Entity 15608 | ConversionClass A Common Stock | 1,296,885 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-009897 · doc4.xml · nonDerivative · entry 1 STONE POINT CAPITAL LLC · CIK 0001332638 · Director · 10% owner Trident FFP LP · CIK 0001748078 · Director · 10% owner Trident VI, L.P. · CIK 0001593010 · Director · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · Director · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · Director · 10% owner Trident FFP GP LLC · CIK 0001748012 · Director · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,396,693 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A Common Stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC. F3 · ownership.nature: These shares of Class A Common Stock are held by Trident FFP LP. F8 · ownership.nature: The sole general partner of Trident FFP LP is Trident FFP GP LLC. F11 · ownership.nature: 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. Read SEC document |
| February 02, 2021 Filed Feb 4, 2021 20:38 UTC | Home Point Capital Inc. HMPT · Entity 110966 | SaleCommon Stock | 211,018 | $12.16 | $2,564,923.79 |
DisclosureSEC source: 0001140361-21-003472 · form4.xml · nonDerivative · entry 4 Trident VI, L.P. · CIK 0001593010 · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · 10% owner Trident VI Professionals Fund, L.P. · CIK 0001593375 · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · 10% owner Stone Point GP Ltd. · CIK 0001492231 · 10% owner STONE POINT CAPITAL LLC · CIK 0001332638 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,825,918 F1 · price: 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. F5 · ownership.nature: 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"). F6 · ownership.nature: 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. F7 · ownership.nature: 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. Read SEC document |
| February 02, 2021 Filed Feb 4, 2021 20:38 UTC | Home Point Capital Inc. HMPT · Entity 110966 | SaleCommon Stock | 63,033 | $12.16 | $766,166.12 |
DisclosureSEC source: 0001140361-21-003472 · form4.xml · nonDerivative · entry 3 Trident VI, L.P. · CIK 0001593010 · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · 10% owner Trident VI Professionals Fund, L.P. · CIK 0001593375 · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · 10% owner Stone Point GP Ltd. · CIK 0001492231 · 10% owner STONE POINT CAPITAL LLC · CIK 0001332638 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,142,824 F1 · price: 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. F4 · ownership.nature: Reflects securities held directly by Trident VI DE Parallel Fund, L.P. F6 · ownership.nature: 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. F7 · ownership.nature: 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. Read SEC document |
| February 02, 2021 Filed Feb 4, 2021 20:38 UTC | Home Point Capital Inc. HMPT · Entity 110966 | SaleCommon Stock | 2,974,174 | $12.16 | $36,151,084.97 |
DisclosureSEC source: 0001140361-21-003472 · form4.xml · nonDerivative · entry 2 Trident VI, L.P. · CIK 0001593010 · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · 10% owner Trident VI Professionals Fund, L.P. · CIK 0001593375 · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · 10% owner Stone Point GP Ltd. · CIK 0001492231 · 10% owner STONE POINT CAPITAL LLC · CIK 0001332638 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 53,924,166 F1 · price: 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. F3 · ownership.nature: Reflects securities held directly by Trident VI Parallel Fund, L.P. F6 · ownership.nature: 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. F7 · ownership.nature: 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. Read SEC document |
| February 02, 2021 Filed Feb 4, 2021 20:38 UTC | Home Point Capital Inc. HMPT · Entity 110966 | SaleCommon Stock | 3,798,956 | $12.16 | $46,176,310.18 |
DisclosureSEC source: 0001140361-21-003472 · form4.xml · nonDerivative · entry 1 Trident VI, L.P. · CIK 0001593010 · 10% owner Trident VI Parallel Fund, L.P. · CIK 0001593012 · 10% owner Trident VI DE Parallel Fund, L.P. · CIK 0001598644 · 10% owner Trident VI Professionals Fund, L.P. · CIK 0001593375 · 10% owner Trident Capital VI, L.P. · CIK 0001690519 · 10% owner Stone Point GP Ltd. · CIK 0001492231 · 10% owner STONE POINT CAPITAL LLC · CIK 0001332638 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 68,878,127 F1 · price: 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. F2 · ownership.nature: Reflects securities held directly by Trident VI, L.P. F6 · ownership.nature: 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. F7 · ownership.nature: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.