SEC Form 4 · accession 0001104659-16-155913
Adeptus Health Inc. · ADPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Merrick Elfman
Director · 10% Owner
Saric Ruldolf Christopher Hoehn
Director · 10% Owner
Douglas L Becker
Director · 10% Owner
Daniel Rosenberg
Director · 10% Owner
Steven Taslitz
Director · 10% Owner
SC Partners III, L.P.
Director · 10% Owner
SCP III AIV THREE-FCER Conduit, L.P.
Director · 10% Owner
SCP III AIV THREE-FCER, L.P.
Director · 10% Owner
Sterling Capital Partners III, LLC
Director · 10% Owner
Period of report
Nov 7, 2016
Accepted (ET)
Nov 9, 2016 · 5:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001602367
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1,F2,F4 | Nov 7, 2016 | A | 4,313 | $1,000.00 | A | 4,313 | I | See Footnotes |
| Series A Preferred StockF1,F3,F4 | Nov 7, 2016 | A | 3,187 | $1,000.00 | A | 3,187 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 7, 2016, SCP III AIV THREE-FCER, L.P. and SCP III AIV THREE-FCER Conduit, L.P. purchased 4,313 and 3,187 newly issued shares of Series A Preferred Stock, par value $0.01, of the Company ("Series A Preferred Stock") for an aggregate amount of $4,313,000 and $3,187,000, respectively.
- F2Shares of Series A Preferred Stock of the Issuer are held by SCP III AIV THREE-FCER, L.P.
- F3Shares of Series A Preferred Stock of the Issuer are held by SCP III AIV THREE-FCER Conduit, L.P.
- F4Sterling Capital Partners III, LLC is the general partner of SC Partners III, L.P., the general partner of each of SCP III AIV THREE-FCER, L.P. and SCP III AIV THREE-FCER Conduit, L.P. Messrs. Steven M. Taslitz, Merrick M. Elfman, Douglas L. Becker and R. Christopher Hoehn-Saric are the managers of Sterling Capital Partners III, LLC. Mr. Rosenberg also has an indirect interest in the securities of the Issuer reported herein.
Remarks
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.