0001104659-17-038737.txt : 20170612 0001104659-17-038737.hdr.sgml : 20170612 20170612165335 ACCESSION NUMBER: 0001104659-17-038737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170510 FILED AS OF DATE: 20170612 DATE AS OF CHANGE: 20170612 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOEHN SARIC RULDOLF CHRISTOPHER CENTRAL INDEX KEY: 0001011193 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36520 FILM NUMBER: 17907093 MAIL ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN AVENUE, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BECKER DOUGLAS L CENTRAL INDEX KEY: 0001072473 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36520 FILM NUMBER: 17907094 MAIL ADDRESS: STREET 1: C/O 650 DUNDEE ROAD STREET 2: SUITE 370 CITY: NORTHBROOK STATE: IL ZIP: 60062 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SC Partners III, L.P. CENTRAL INDEX KEY: 0001611317 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36520 FILM NUMBER: 17907096 BUSINESS ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312 465 7000 MAIL ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCP III AIV THREE-FCER, L.P. CENTRAL INDEX KEY: 0001611319 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36520 FILM NUMBER: 17907097 BUSINESS ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312 465 7000 MAIL ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sterling Capital Partners III, LLC CENTRAL INDEX KEY: 0001611325 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36520 FILM NUMBER: 17907099 BUSINESS ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312 465 7000 MAIL ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Taslitz Steven CENTRAL INDEX KEY: 0001407214 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36520 FILM NUMBER: 17907095 MAIL ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN AVENUE, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCP III AIV THREE-FCER Conduit, L.P. CENTRAL INDEX KEY: 0001611318 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36520 FILM NUMBER: 17907098 BUSINESS ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 312 465 7000 MAIL ADDRESS: STREET 1: C/O STERLING PARTNERS STREET 2: 401 NORTH MICHIGAN, SUITE 3300 CITY: CHICAGO STATE: IL ZIP: 60611 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Adeptus Health Inc. CENTRAL INDEX KEY: 0001602367 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-HOSPITALS [8060] IRS NUMBER: 465037387 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2941 SOUTH LAKE VISTA CITY: LEWISVILLE STATE: TX ZIP: 75067 BUSINESS PHONE: 9728996666 MAIL ADDRESS: STREET 1: 2941 SOUTH LAKE VISTA CITY: LEWISVILLE STATE: TX ZIP: 75067 4 1 a4.xml 4 X0306 4 2017-05-10 0 0001602367 Adeptus Health Inc. ADPT 0001611325 Sterling Capital Partners III, LLC C/O STERLING PARTNERS, 401 NORTH MICHIGAN AVENUE, SUITE 3300 CHICAGO IL 60611 0 0 1 0 0001611318 SCP III AIV THREE-FCER Conduit, L.P. C/O STERLING PARTNERS, 401 NORTH MICHIGAN AVENUE, SUITE 3300 CHICAGO IL 60611 0 0 1 0 0001611319 SCP III AIV THREE-FCER, L.P. C/O STERLING PARTNERS, 401 NORTH MICHIGAN AVENUE, SUITE 3300 CHICAGO IL 60611 0 0 1 0 0001611317 SC Partners III, L.P. C/O STERLING PARTNERS, 401 NORTH MICHIGAN AVENUE, SUITE 3300 CHICAGO IL 60611 0 0 1 0 0001407214 Taslitz Steven C/O STERLING PARTNERS, 401 NORTH MICHIGAN AVENUE, SUITE 3300 CHICAGO IL 60611 0 0 1 0 0001072473 BECKER DOUGLAS L C/O STERLING PARTNERS, 401 NORTH MICHIGAN AVENUE, SUITE 3300 CHICAGO IL 60611 0 0 1 0 0001011193 HOEHN SARIC RULDOLF CHRISTOPHER C/O STERLING PARTNERS, 401 NORTH MICHIGAN AVENUE, SUITE 3300 CHICAGO IL 60611 0 0 1 0 Class A Common Stock 2017-06-09 4 C 0 1335068 A 1335068 I See footnotes Class A Common Stock 1009813 I See footnotes Class A Common Stock 2017-05-10 4 F 0 8834 0 D 5593 I See footnotes Units of Adeptus Health LLC (1) 2017-06-09 4 C 0 1335068 0 D Class A Common Stock 1335068 0 I See footnotes On June 9, 2017, Units of Adeptus Health LLC were exchanged for shares of Class A Common Stock, as described in footnote 2 below. SCP III AIV THREE-FCER, L.P. has no immediate intention to sell the Class A Common Stock received in this exchange. Units of Adeptus Health LLC represent limited liability company units of Adeptus Health LLC and an equal number of shares of Class B Common Stock of Adeptus Health Inc. (the "Issuer"), which together are exchangeable on a one-for-one basis for shares of Class A Common Stock of the Issuer pursuant to the Amended and Restated Limited Liability Company Agreement of Adeptus Health LLC. These securities of the Issuer are held by SCP III AIV THREE-FCER, L.P. Shares of Class A Common Stock of the Issuer are held by SCP III AIV THREE-FCER Conduit, L.P. Represents restricted shares of Class A Common Stock of the Issuer granted as director compensation to former members of the Issuer's board of directors who were employees of Sterling Fund Management, LLC and hold such shares of Class A Common Stock for and on behalf of Sterling Fund Management, LLC, which acts as an advisor to SCP III AIV THREE-FCER, L.P. and SCP III AIV THREE-FCER Conduit, L.P. (the "Sterling Funds"). A portion of the proceeds of any disposition of these securities will be applied against management fees attributable to limited partners of the Sterling Funds which are payable to the advisor. Sterling Fund Management, LLC is wholly-owned by Sterling Fund Management Holdings, L.P., whose general partner, Sterling Fund Management Holdings GP, LLC is managed by Messrs. Steven M. Taslitz, Douglas L. Becker and R. Christopher Hoehn-Saric. Sterling Capital Partners III, LLC is the general partner of SC Partners III, L.P., the general partner of each of the Sterling Funds. Messrs. Steven M. Taslitz, Douglas L. Becker and R. Christopher Hoehn-Saric are the managers of Sterling Capital Partners III, LLC. Represents a forfeiture of an unvested restricted stock award upon the departure of Mr. Daniel Rosenberg from the Issuer's board of directors. 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, if any. 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. By: /s/ M. Avi Epstein, General Counsel of Sterling Capital Partners III, LLC, the general partner of SC Partners III, L.P., the general partner of SCP III AIV THREE-FCER, L.P. 2017-06-12 By: /s/ M. Avi Epstein, General Counsel of Sterling Capital Partners III, LLC, the general partner of SC Partners III, L.P., the general partner of SCP III AIV THREE-FCER Conduit, L.P. 2017-06-12 By: /s/ M. Avi Epstein, General Counsel of Sterling Capital Partners III, LLC, the general partner of SC Partners III, L.P. 2017-06-12 By: /s/ M. Avi Epstein, General Counsel of Sterling Capital Partners III, LLC 2017-06-12 By: /s/ M. Avi Epstein, attorney-in-fact for Steven M. Taslitz 2017-06-12 By: /s/ M. Avi Epstein, attorney-in-fact for Douglas L. Becker 2017-06-12 By: /s/ M. Avi Epstein, attorney-in-fact for R. Christopher Hoehn-Saric 2017-06-12