0000899243-18-020997.txt : 20180801
0000899243-18-020997.hdr.sgml : 20180801
20180801170038
ACCESSION NUMBER: 0000899243-18-020997
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180730
FILED AS OF DATE: 20180801
DATE AS OF CHANGE: 20180801
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: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 18985526
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 FFP LP
CENTRAL INDEX KEY: 0001748078
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 18985527
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, L.P.
CENTRAL INDEX KEY: 0001593010
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 18985528
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: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 18985529
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 DE Parallel Fund, L.P.
CENTRAL INDEX KEY: 0001598644
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 18985530
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 GP LLC
CENTRAL INDEX KEY: 0001748012
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 18985531
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 Capital VI, L.P.
CENTRAL INDEX KEY: 0001690519
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38604
FILM NUMBER: 18985532
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
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: 825 THIRD AVENUE
STREET 2: 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (646)519-2456
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 27TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2018-07-30
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
1099808
I
See Footnotes
Class A Common Stock
1274093
I
See Footnotes
Class A Common Stock
8932981
I
See Footnotes
Class A Common Stock
189319
I
See Footnotes
Units of Focus Financial Partners, LLC
Class A Common Stock
9898270
I
See Footnotes
These shares of Class A common stock ("Class A Common Stock") of Focus Financial Partners Inc. (the "Issuer") 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.
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 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, 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.
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.
On July 30, 2018, James D. Carey, a member and senior principal of Stone Point Capital LLC, was appointed to the board of directors of the Issuer. Mr. Carey is (i) a member of the investment committee and owner of one of the five general partners of Trident Capital VI, L.P. (the general partner of Trident VI, L.P.) 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: /s/ Peter M. Mundheim, Name: Peter M. Mundheim, Title: Vice President & Assistant Secretary
2018-08-01
Trident VI, L.P., By: Stone Point Capital LLC, its manager, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Principal
2018-08-01
Trident VI Parallel Fund, L.P., By: Stone Point Capital LLC, its manager, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Principal
2018-08-01
Trident VI DE Parallel Fund, L.P., By: Stone Point Capital LLC, its manager, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Principal
2018-08-01
Trident FFP GP LLC, By: /s/ Peter M. Mundheim, Name: Peter M. Mundheim, Title: Vice President & Assistant Secretary
2018-08-01
Trident Capital VI, L.P., By: DW Trident VI, LLC, a general partner, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Vice President
2018-08-01
Stone Point Capital LLC, By: /s/ Jacqueline Giammarco, Name: Jacqueline Giammarco, Title: Principal
2018-08-01