0000899243-21-009897.txt : 20210304
0000899243-21-009897.hdr.sgml : 20210304
20210304174539
ACCESSION NUMBER: 0000899243-21-009897
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210302
FILED AS OF DATE: 20210304
DATE AS OF CHANGE: 20210304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: STONE POINT CAPITAL LLC
CENTRAL INDEX KEY: 0001332638
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 21715566
BUSINESS ADDRESS:
STREET 1: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-862-2924
MAIL ADDRESS:
STREET 1: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trident VI, L.P.
CENTRAL INDEX KEY: 0001593010
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 21715564
BUSINESS ADDRESS:
STREET 1: STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-862-2900
MAIL ADDRESS:
STREET 1: STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trident VI Parallel Fund, L.P.
CENTRAL INDEX KEY: 0001593012
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 21715563
BUSINESS ADDRESS:
STREET 1: STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-862-2900
MAIL ADDRESS:
STREET 1: STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trident FFP LP
CENTRAL INDEX KEY: 0001748078
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 21715565
BUSINESS ADDRESS:
STREET 1: C/O STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: (203) 862-2900
MAIL ADDRESS:
STREET 1: C/O STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trident VI DE Parallel Fund, L.P.
CENTRAL INDEX KEY: 0001598644
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 21715562
BUSINESS ADDRESS:
STREET 1: STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 203-862-2900
MAIL ADDRESS:
STREET 1: STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trident Capital VI, L.P.
CENTRAL INDEX KEY: 0001690519
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 21715560
BUSINESS ADDRESS:
STREET 1: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: 202-862-2900
MAIL ADDRESS:
STREET 1: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trident FFP GP LLC
CENTRAL INDEX KEY: 0001748012
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 21715561
BUSINESS ADDRESS:
STREET 1: C/O STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
BUSINESS PHONE: (203) 862-2900
MAIL ADDRESS:
STREET 1: C/O STONE POINT CAPITAL LLC
STREET 2: 20 HORSENECK LANE
CITY: GREENWICH
STATE: CT
ZIP: 06830
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Focus Financial Partners Inc.
CENTRAL INDEX KEY: 0001651052
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 474780811
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 875 THIRD AVENUE
STREET 2: 28TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (646)519-2456
MAIL ADDRESS:
STREET 1: 875 THIRD AVENUE
STREET 2: 28TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-03-02
0
0001651052
Focus Financial Partners Inc.
FOCS
0001332638
STONE POINT CAPITAL LLC
20 HORSENECK LANE
GREENWICH
CT
06830-6327
1
0
1
0
0001748078
Trident FFP LP
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE
GREENWICH
CT
06830-6327
1
0
1
0
0001593010
Trident VI, L.P.
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE
GREENWICH
CT
06830-6327
1
0
1
0
0001593012
Trident VI Parallel Fund, L.P.
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE
GREENWICH
CT
06830-6327
1
0
1
0
0001598644
Trident VI DE Parallel Fund, L.P.
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE
GREENWICH
CT
06830-6327
1
0
1
0
0001748012
Trident FFP GP LLC
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE
GREENWICH
CT
06830-6327
1
0
1
0
0001690519
Trident Capital VI, L.P.
C/O STONE POINT CAPITAL LLC
20 HORSENECK LANE
GREENWICH
CT
06830-6327
1
0
1
0
Class A Common Stock
2021-03-02
4
C
0
1296885
A
2396693
I
See Footnotes
Class A Common Stock
2021-03-02
4
S
0
2396693
46.20
D
0
I
See Footnotes
Class A Common Stock
2021-03-02
4
S
0
277650
46.20
D
996443
I
See Footnotes
Class A Common Stock
2021-03-02
4
S
0
1946670
46.20
D
6986311
I
See Footnotes
Class A Common Stock
2021-03-02
4
S
0
41257
46.20
D
148062
I
See Footnotes
Units of Focus Financial Partners, LLC
2021-03-02
4
C
0
1296885
0.00
D
Class A Common Stock
1296885
8601385
I
See Footnotes
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.
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.
These shares of Class A Common Stock are held by Trident FFP LP.
These shares of Class A Common Stock are held by Trident VI, L.P.
These shares of Class A Common Stock are held by Trident VI Parallel Fund, L.P.
These shares of Class A Common Stock are held by Trident VI DE Parallel Fund, L.P.
Held by Trident FFP LP.
The sole general partner of Trident FFP LP is Trident FFP GP LLC.
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.
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.
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.
James D. Carey, a member and managing director of Stone Point Capital LLC, is a member of the board of directors of the Issuer. Mr. Carey is (i) an owner of one of the five general partners of Trident Capital VI, L.P. (the general partner of each of the Trident Partnerships) and (ii) an owner of one of five members of Trident FFP FP LLC (the general partner of Trident FFP LP). On the basis of the relationships between Mr. Carey and the Reporting Persons, each of the Reporting Persons may be deemed a director by deputization in respect of the Issuer.
TRIDENT FFP LP, By: Trident FFP GP LLC, its general partner, By: Trident VI, L.P., its sole member, By: Trident Capital VI, L.P. its general partner, By: DW Trident VI, LLC, its general partner, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Ti
2021-03-04
TRIDENT VI, L.P., By: Stone Point Capital LLC, its manager, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Chief Compliance Officer
2021-03-04
TRIDENT VI PARALLEL FUND, L.P., By: Stone Point Capital LLC, its manager, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Chief Compliance Officer
2021-03-04
TRIDENT VI DE PARALLEL FUND, L.P., By: Stone Point Capital LLC, its manager, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Chief Compliance Officer
2021-03-04
TRIDENT FFP GP LLC, By: Trident VI, L.P., its sole member, By: Trident Capital VI, L.P. its general partner, By: DW Trident VI, LLC, its general partner, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Vice President
2021-03-04
TRIDENT CAPITAL VI, L.P., By: DW Trident VI, LLC, a general partner, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Vice President
2021-03-04
STONE POINT CAPITAL LLC, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Chief Compliance Officer
2021-03-04