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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. |
Document/Exhibit Description Pages Size 1: SC 13D/A Thl Equity Advisors Vi, LLC Sc 13Da 4-18-2014 HTML 62K (Sterling Financial Corporation)
STERLING FINANCIAL CORPORATION
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(Name of Issuer)
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Common Stock, no par value per share
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(Title of Class of Securities)
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(CUSIP Number)
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
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(Date of Event Which Requires Filing of This Statement)
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CUSIP No. Common Stock– 859319303
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(Page 2 of 12)
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1.
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NAME OF REPORTING PERSONS
THL Equity Advisors VI, LLC
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)¨
(b)x
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3.
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SEC USE ONLY
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4.
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SOURCE OF FUNDS N/A
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5.
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) o
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|
6.
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF
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7.
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SOLE VOTING POWER* -0-
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SHARES
|
|
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BENEFICIALLY
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8.
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SHARED VOTING POWER 0
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OWNED BY EACH
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|
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REPORTING PERSON
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9.
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SOLE DISPOSITIVE POWER* -0-
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WITH
|
|
|
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10.
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SHARED DISPOSITIVE POWER* 0
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11.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON*
0
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES o
|
13.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0
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14.
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TYPE OF REPORTING PERSON OO
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CUSIP No. Common Stock– 859319303
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(Page 3 of 12)
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1.
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NAME OF REPORTING PERSONS
Thomas H. Lee Advisors, LLC
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|
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
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CUSIP No. Common Stock– 859319303
|
|
(Page 4 of 12)
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1.
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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
|
CUSIP No. Common Stock– 859319303
|
|
(Page 5 of 12)
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1.
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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
|
CUSIP No. Common Stock– 859319303
|
|
(Page 6 of 12)
|
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
|
CUSIP No. Common Stock– 859319303
|
|
(Page 7 of 12)
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1.
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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
|
CUSIP No. Common Stock– 859319303
|
|
(Page 8 of 12)
|
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
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Item 4.
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Purpose of Transaction.
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Item 5.
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Interest in Securities of the Company.
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THOMAS H. LEE ADVISORS, LLC
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By:
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THL HOLDCO, LLC, its managing member
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By:
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Name: Charles P. Holden
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Title: Managing Director
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THL EQUITY ADVISORS VI, LLC
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|
|
|
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|
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By: THOMAS H. LEE PARTNERS, L.P., its sole member
|
|
|
|
|
||
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By: THL HOLDCO, LLC, its managing member
|
|
|
|
|
|
|
|
By:
|
|
|
|
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Name: Charles P. Holden
|
|
|
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Title: Managing Director
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|
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THOMAS H. LEE EQUITY FUND VI, L.P.
|
|
|
|
|
|
|
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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:
|
|
|
|
|
Name: Charles P. Holden
|
|
|
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Title: Managing Director
|
|
|
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:
|
|
|
|
Name: Charles P. Holden
|
|
|
|
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:
|
|
|
|
Name: Charles P. Holden
|
|
|
|
Title: Managing Director
|
|
|
|
|
|
|
|
THL STERLING EQUITY INVESTORS, L.P.
|
|
|
|
|
|
|
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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:
|
|
|
|
Name: Charles P. Holden
|
|
|
|
Title: Managing Director
|
|
|
|
|
|
|
|
THL MANAGERS VI, LLC
|
|
|
|
|
|
|
|
By: THOMAS H. LEE PARTNERS, L.P., its managing member
|
|
|
|
|
||
|
By: THL HOLDCO, LLC, its managing member
|
|
|
|
|
|
|
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By:
|
/s/ Charles P. Holden |
|
|
|
Name: Charles P. Holden
|
|
|
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Title: Managing Director
|
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This ‘SC 13D/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 4/22/14 | 4, SC 13D/A | ||
4/18/14 | 10-K/A, 4, 8-K | |||
9/3/10 | 3, SC 13D | |||
List all Filings |