Form Type: 4

SEC EDGAR Link
Accession Number:0001454389-14-000104
Date:2014-11-25
Issuer: STONEGATE MORTGAGE CORP (SGM)
Original Submission Date:

Reporting Person:

LEVINSON SAM
9190 PRIORITY WAY WEST DRIVE, SUITE 300
INDIANAPOLIS, IN 46240

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2014-11-25 P 32,700 a $11.64 1,996,863 indirect f1
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 represents 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 siget ny partners, lp in the initial public offering of the issuer. mr. levinson is (i) the chief investment officer of siget ny partners, lp, which is the investment management company for diaco investments lp, (ii) a principal and managing partner of glick family investments, a private family office located in new york, new york, which is affiliated with the glick pluchenik 2011 trust, and (iii) an investment manager of chicheser fund limited.
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