Filing Details
- Accession Number:
- 0001796022-21-000022
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-25 18:50:15
- Reporting Period:
- 2021-03-23
- Accepted Time:
- 2021-03-25 18:50:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1796022 | Stepstone Group Inc. | STEP | Investment Advice (6282) | 843868757 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1822276 | A Jose Fernandez | C/O Stepstone Group Inc. 450 Lexington Avenue, 31St Floor New York NY 10017 | Co-Chief Operating Officer | Yes | Yes | Yes | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common Stock | Disposition | 2020-12-31 | 350,000 | $0.00 | 5,505,328 | No | 5 | G | Indirect | By Trust |
| Class B Common Stock | Acquisiton | 2020-12-31 | 350,000 | $0.00 | 1,605,500 | No | 5 | G | Indirect | By Santaluz Capital Partners, LLC |
| Class B Common Stock | Disposition | 2021-03-23 | 1,750,000 | $0.00 | 3,755,328 | No | 4 | D | Indirect | By Trust |
| Class A Common Stock | Acquisiton | 2021-03-23 | 1,750,000 | $0.00 | 1,750,000 | No | 4 | C | Indirect | By Trust |
| Class A Common Stock | Disposition | 2021-03-23 | 1,750,000 | $28.32 | 0 | No | 4 | S | Indirect | By Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Indirect | By Trust |
| No | 5 | G | Indirect | By Santaluz Capital Partners, LLC |
| No | 4 | D | Indirect | By Trust |
| No | 4 | C | Indirect | By Trust |
| No | 4 | S | Indirect | By Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Units | Disposition | 2020-12-31 | 350,000 | $0.00 | 350,000 | $0.00 |
| Class A Common Stock | Class B Units | Acquisiton | 2020-12-31 | 350,000 | $0.00 | 350,000 | $0.00 |
| Class A Common Stock | Class B Units | Disposition | 2021-03-23 | 1,750,000 | $0.00 | 1,750,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,505,328 | No | 5 | G | Indirect | ||
| 1,605,500 | No | 5 | G | Indirect | ||
| 3,755,328 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 8,920 | Direct |
Footnotes
- On March 23, 2021, the Reporting Person exchanged 1,750,000 Class B Units of StepStone Group LP for 1,750,000 shares of Class A Common Stock. In connection with the exchange, 1,750,000 shares of Class B Common Stock were automatically redeemed and cancelled.
- The Class B Units are exchangeable, on a one-for-one basis, for shares of Class A Common Stock of the Issuer. Upon exchange of a Class B Unit, the corresponding share of Class B Common Stock of the Issuer will be automatically redeemed and cancelled.
- On March 23, 2021, the Reporting Person sold shares of Class A Common Stock in a secondary offering of Class A Common Stock by certain selling stockholders of the Issuer.
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