SEC Form 4 · accession 0001454389-16-000135
STONEGATE MORTGAGE CORP · SGM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sam Levinson
Director
Period of report
Aug 15, 2016
Accepted (ET)
Aug 18, 2016 · 11:19 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001454389
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 15, 2016 | A | 15,748 | $3.81 | A | 1,976,117 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F17,874 shares shall be vested upon issuance and 7,874 shares shall vest on May 27, 2017.
- F2Represents 694,567 shares of common stock owned by Diaco Investments LP, 1,042,140 shares of common stock currently held of record by Glick Pluchenik 2011 Trust, 35,156 shares of common stock available for immediate purchase at $18.00 per share by Glick Pluchenik 2011 Trust pursuant to the exercise of warrants described above and 225,000 shares of common stock purchased by Chichester Fund Limited in the initial public offering of the Issuer. Mr. Levinson is the chief investment officer of Siget NY Partners, LP, which is the investment management company for Diaco Investments LP. Mr Levinson is a principal and managing partner of Glick Family Investments, a private family office located in New York, New York. Individuals within the Glick Family Office control decisions related to securities held by Glick Pluchenik 2011 Trust and Chichester Fund Limited.