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THL Equity Advisors VI, LLC, et al. – ‘SC 13D/A’ on 4/22/14 re: Sterling Financial Corp/WA

On:  Tuesday, 4/22/14, at 5:26pm ET   ·   Accession #:  1140361-14-17257   ·   File #:  5-44103

Previous ‘SC 13D’:  ‘SC 13D/A’ on 9/13/13   ·   Latest ‘SC 13D’:  This Filing

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 4/22/14  THL Equity Advisors VI, LLC       SC 13D/A               1:132K Sterling Financial Corp/WA        Summit Fin’l Printing
          THL Managers VI, LLC
          THL Sterling Equity Investors, L.P.
          Thomas H. Lee Advisors, LLC
          Thomas H. Lee Equity Fund VI, L.P.
          Thomas H. Lee Parallel (DT) Fund VI, L.P.
          Thomas H. Lee Parallel Fund VI, L.P.

Amendment to General Statement of Beneficial Ownership   —   Schedule 13D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13D/A    Thl Equity Advisors Vi, LLC Sc 13Da 4-18-2014       HTML     62K 
                          (Sterling Financial Corporation)                       


This is an HTML Document rendered as filed.  [ Alternative Formats ]




SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC  20549

SCHEDULE 13D
(Rule 13d-101)

UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 2)1
 
STERLING FINANCIAL CORPORATION
(Name of Issuer)
 
Common Stock, no par value per share
(Title of Class of Securities)
 
(CUSIP Number)
 
Michael J. Aiello, Esq,
Weil Gotshal & Manges LLP
767 Fifth Avenue
(212) 310-8000
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
 
(Date of Event Which Requires Filing of This Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. o

Note.  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See Rule 13d-7 for other parties to whom copies are to be sent.
 

1 The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

CUSIP No.  Common Stock– 859319303
 
(Page 2 of 12)

13D
 
1.
NAME OF REPORTING PERSONS
THL Equity Advisors VI, LLC
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)¨
(b)x
 
3.
SEC USE ONLY
 
4.
SOURCE OF FUNDS                   N/A
 
5.
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o
 
6.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
 
NUMBER OF
7.
SOLE VOTING POWER*         -0-
SHARES
 
 
BENEFICIALLY
8.
SHARED VOTING POWER      0
OWNED BY EACH
 
 
REPORTING PERSON
9.
SOLE DISPOSITIVE POWER*    -0-
WITH
 
 
 
10.
SHARED DISPOSITIVE POWER*    0
 
11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
0
 
12.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES     o
 
13.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)                       0
 
14.
TYPE OF REPORTING PERSON                    OO
 
*  See Item 5.
2

CUSIP No.  Common Stock– 859319303
 
(Page 3 of 12)

13D
 
1.
NAME OF REPORTING PERSONS
Thomas H. Lee Advisors, LLC
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)¨
(b)x
 
3.
SEC USE ONLY
 
4.
SOURCE OF FUNDS                   N/A
 
5.
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o
 
6.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
 
NUMBER OF
7.
SOLE VOTING POWER*         -0-
SHARES
    
   
BENEFICIALLY
8.
SHARED VOTING POWER      0
OWNED BY EACH
    
 
REPORTING PERSON
9.
SOLE DISPOSITIVE POWER*    -0-
WITH
   
   
 
10.
SHARED DISPOSITIVE POWER*    0
 
11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
0
 
12.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES     o
 
13.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)*                       0
 
14.
TYPE OF REPORTING PERSON                    OO
 
*See Item 5.
3

CUSIP No.  Common Stock– 859319303
 
(Page 4 of 12)
 
13D
 
1.
NAME OF REPORTING PERSONS
Thomas H. Lee Equity Fund VI, L.P.
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)¨
(b)x
 
3.
SEC USE ONLY
 
4.
SOURCE OF FUNDS                   N/A
 
5.
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o
 
6.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
 
NUMBER OF
7.
SOLE VOTING POWER*         -0-
SHARES
 
 
BENEFICIALLY
8.
SHARED VOTING POWER*      0
OWNED BY EACH
 
 
REPORTING PERSON
9.
SOLE DISPOSITIVE POWER*    -0-
WITH
 
 
 
10.
SHARED DISPOSITIVE POWER*    0
 
11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
0
 
12.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES     o
 
13.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)*                       0
 
14.
TYPE OF REPORTING PERSON                    PN
 
*See Item 5.
4

CUSIP No.  Common Stock– 859319303
 
(Page 5 of 12)
 
13D
 
1.
NAME OF REPORTING PERSONS
Thomas H. Lee Parallel Fund VI, L.P.
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)¨
(b)x
 
3.
SEC USE ONLY
 
4.
SOURCE OF FUNDS                   N/A
 
5.
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o
 
6.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
 
NUMBER OF
7.
SOLE VOTING POWER*         -0-
SHARES
 
 
BENEFICIALLY
8.
SHARED VOTING POWER*      0
OWNED BY EACH
 
 
REPORTING PERSON
9.
SOLE DISPOSITIVE POWER*    -0-
WITH
 
 
 
10.
SHARED DISPOSITIVE POWER*    0
 
11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
0
 
12.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES     o
 
13.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)*                       0
 
14.
TYPE OF REPORTING PERSON                    PN
 
*See Item 5.
5

CUSIP No.  Common Stock– 859319303
 
(Page 6 of 12)
 
13D
 
1.
NAME OF REPORTING PERSONS
Thomas H. Lee Parallel (DT) Fund VI, L.P.
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)¨
(b)x
 
3.
SEC USE ONLY
 
4.
SOURCE OF FUNDS                   N/A
 
5.
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o
 
6.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
 
NUMBER OF
7.
SOLE VOTING POWER*         -0-
SHARES
 
 
BENEFICIALLY
8.
SHARED VOTING POWER*      0
OWNED BY EACH
 
 
REPORTING PERSON
9.
SOLE DISPOSITIVE POWER*    -0-
WITH
 
 
 
10.
SHARED DISPOSITIVE POWER*    0
 
11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
0
 
12.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES     o
 
13.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)*                       0
 
14.
TYPE OF REPORTING PERSON                    PN
 
*See Item 5.
6

CUSIP No.  Common Stock– 859319303
 
(Page 7 of 12)
 
13D
1.
NAME OF REPORTING PERSONS
THL Sterling Equity Investors, L.P.
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)¨
(b)x
 
3.
SEC USE ONLY
 
4.
SOURCE OF FUNDS                   N/A
 
5.
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o
 
6.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
 
NUMBER OF
7.
SOLE VOTING POWER*         -0-
SHARES
   
 
BENEFICIALLY
8.
SHARED VOTING POWER*      0
OWNED BY EACH
 
 
REPORTING PERSON
9.
SOLE DISPOSITIVE POWER*    -0-
WITH
 
 
 
10.
SHARED DISPOSITIVE POWER*    0
 
11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
0
 
12.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES     o
 
13.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)*                       0
 
14.
TYPE OF REPORTING PERSON                    PN
 
*See Item 5.
7

CUSIP No.  Common Stock– 859319303
 
(Page 8 of 12)

13D
 
1.
NAME OF REPORTING PERSONS
THL Managers VI, LLC
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)¨
(b)x
 
3.
SEC USE ONLY
 
4.
SOURCE OF FUNDS                   N/A
 
5.
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o
 
6.
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
 
NUMBER OF
7.
SOLE VOTING POWER*         -0-
SHARES
 
   
BENEFICIALLY
8.
SHARED VOTING POWER      0
OWNED BY EACH
 
 
REPORTING PERSON
9.
SOLE DISPOSITIVE POWER*    -0-
WITH
 
 
 
10.
SHARED DISPOSITIVE POWER*    0
 
11.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
0
 
12.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES     o
 
13.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)                       0
 
14.
TYPE OF REPORTING PERSON                    OO
 
*  See Item 5.
8

This Amendment No. 2 to Schedule 13D (this “Amendment No. 2”) amends and supplements the statement on Schedule 13D originally filed by the Reporting Persons (as defined below) with the Securities and Exchange Commission (the “SEC”) on September 3, 2010, as amended (the “Schedule 13D” ), and is being filed with respect to the shares of common stock, no par value per share (“Common Stock”), of Sterling Financial Corporation, a Washington corporation (the “Issuer” or the “Company”).

This statement is being filed jointly by (i) THL Equity Advisors VI, LLC, a Delaware limited liability company (“Advisors VI”), (ii) Thomas H. Lee Advisors, LLC (“THL Advisors”), (iii) Thomas H. Lee Equity Fund VI, L.P., a Delaware limited partnership (“Equity Fund”), (iv) Thomas H. Lee Parallel Fund VI, L.P., a Delaware limited partnership (“Parallel Fund”), (v) Thomas H. Lee Parallel (DT) Fund VI, L.P., a Delaware limited partnership (“DT Fund”), (vi) THL Sterling Equity Investors, L.P., a Delaware limited partnership (“THL Sterling”) and (vii) THL Managers VI, LLC, a Delaware limited liability company (“THL Managers,” and together with THL Sterling, DT Fund, Equity Fund and Parallel Fund, the “Funds”) (each a “Reporting Person” and collectively, the “THL Reporting Persons”).

Except as specifically provided herein, this Amendment No. 2 does not modify any of the information previously reported in the Schedule 13D.  Capitalized terms used herein but not otherwise defined shall have the meaning attributed to them in the Schedule 13D.

Item 4.
Purpose of Transaction.

Item 4 of the Schedule 13D is hereby amended and supplemented as follows:

On April 18, 2014, pursuant to the Merger Agreement each share of the Company’s Common Stock issued and outstanding immediately prior to the Effective Time was converted into the right to receive (x) 1.671 shares of the common stock, no par value per share, of Umpqua and (y) $2.18 in cash.  In addition, the Warrant automatically and in accordance with the terms of such Warrant (a) ceased to represent a warrant to purchase the Common Stock of the Issuer, (b) was converted into a warrant exercisable for the Merger Consideration which the Common Stock issuable upon exercise of such Warrant immediately prior to the date and time when the Merger became effective would have been entitled to receive upon consummation of the Merger, and (c) Umpqua assumed such Warrant subject to its terms, as so adjusted.

Item 5.
Interest in Securities of the Company.

Items 5 (a), (b), (c) and (e) of the Schedule 13D are hereby amended and supplemented as follows:

(a)-(b)
The information included in the cover pages of this Amendment No. 2 are incorporated herein by reference. As of April 18, 2014, each of the THL Reporting Persons beneficially owns 0 shares of Common Stock.

(c)
9

Except as forth in Item 4 of this Amendment No.2 there have been no transactions in the Common Stock in the past 60 days.

(e)
As of April 18, 2014, each of the THL Reporting Persons ceased to be a beneficial owner of more than 5% of the Common Stock.
10
SIGNATURES

After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this Statement is true, complete and correct.

Dated:  April 22, 2014

 
THOMAS H. LEE ADVISORS, LLC
 
 
 
 
 
 
By:
THL HOLDCO, LLC, its managing member
 
 
 
 
 
 
By:
 
 
 
 
 
 
Title: Managing Director
 
 
 
 
 
 
THL EQUITY ADVISORS VI, LLC
 
 
 
 
 
 
By: THOMAS H. LEE PARTNERS, L.P., its sole member
 
 
 
 
By: THL HOLDCO, LLC, its managing member
 
 
 
 
 
 
By:
 
 
 
 
 
 
Title: Managing Director
 
 
 
 
 
 
THOMAS H. LEE EQUITY FUND VI, L.P.
 
 
 
 
 
 
By: THL EQUITY ADVISORS VI, LLC, its general partner
 
 
By: THOMAS H. LEE PARTNERS, L.P., its sole member
 
 
 
 
By:  THL HOLDCO, LLC, its managing member
 
 
 
 
 
 
By:
 
 
 
 
 
 
Title: Managing Director
 

[Signature Page to 13D/A]

 
THOMAS H. LEE PARALLEL FUND VI, L.P.
 
 
 
 
 
 
By: THL EQUITY ADVISORS VI, LLC, its general partner
 
 
By: THOMAS H. LEE PARTNERS, L.P., its sole member
 
 
 
 
By: THL HOLDCO, LLC, its managing member
 
 
 
 
 
 
By:
 
 
 
 
Title:   Managing Director
 
 
 
 
 
 
THOMAS H. LEE PARALLEL (DT) FUND VI, L.P.
 
 
 
 
 
 
By: THL EQUITY ADVISORS VI, LLC, its general partner
 
 
By: THOMAS H. LEE PARTNERS, L.P., its sole member
 
 
 
 
By:  THL HOLDCO, LLC, its managing member
 
 
 
 
 
 
By:
 
 
 
 
Title:    Managing Director
 
 
 
 
 
 
THL STERLING EQUITY INVESTORS, L.P.
 
 
 
 
 
 
By: THL EQUITY ADVISORS VI, LLC, its general partner
 
 
By: THOMAS H. LEE PARTNERS, L.P., its sole member
 
 
 
 
By:  THL HOLDCO, LLC, its managing member
 
 
 
 
 
 
By:
 
 
 
 
Title:    Managing Director
 
 
 
 
 
 
THL MANAGERS VI, LLC
 
 
 
 
 
 
By: THOMAS H. LEE PARTNERS, L.P., its managing member
 
 
 
 
By: THL HOLDCO, LLC, its managing member
 
 
 
 
 
 
By:
 /s/ Charles P. Holden
 
 
 
 
 
 
Title: Managing Director
 

[Signature Page to 13D/A]
 
 


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13D/A’ Filing    Date    Other Filings
Filed on:4/22/144,  SC 13D/A
4/18/1410-K/A,  4,  8-K
9/3/103,  SC 13D
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