Initial Statement of Beneficial Ownership (3)
September 04 2014 - 4:33PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
STONE POINT CAPITAL LLC
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/4/2014
|
3. Issuer Name
and
Ticker or Trading Symbol
YADKIN FINANCIAL Corp [YDKN]
|
(Last)
(First)
(Middle)
20 HORSENECK LANE
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
___
X
___ Other (specify below)
/ Director by Deputization (1)
|
(Street)
GREENWICH, CT 06830-6327
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Stock
|
2295628
(1)
|
I
(1)
|
See Footnotes
(1)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
In connection with the merger of Yadkin Financial Corp. (the "Issuer") with VantageSouth Bancshares, Inc. and Piedmont Community Bank Holdings, Inc. on July 4, 2014 (the "Mergers"), Nicolas D. Zerbib was appointed to the Board of Directors of the Issuer. Mr. Zerbib is a member of the reporting person. On the basis of the relationship between the reporting person and Mr. Zerbib, the reporting person may be deemed a director of the Issuer by deputization. Pursuant to certain management agreements, the reporting person has authority to exercise voting rights of Issuer Common Stock on behalf of certain funds holding the shares of Issuer Common Stock disclosed herein, but the reporting person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, if any.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
STONE POINT CAPITAL LLC
20 HORSENECK LANE
GREENWICH, CT 06830-6327
|
|
|
|
Director by Deputization (1)
|
Signatures
|
/s/ David J. Wermuth
Senior Principal
|
|
9/4/2014
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Yadkin Financial Corporation (NYSE:YDKN)
Historical Stock Chart
From Sep 2024 to Oct 2024
Yadkin Financial Corporation (NYSE:YDKN)
Historical Stock Chart
From Oct 2023 to Oct 2024