0000908662-16-000519.txt : 20160428 0000908662-16-000519.hdr.sgml : 20160428 20160428153818 ACCESSION NUMBER: 0000908662-16-000519 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160426 FILED AS OF DATE: 20160428 DATE AS OF CHANGE: 20160428 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NewStar Financial, Inc. CENTRAL INDEX KEY: 0001373561 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE LESSORS [6172] IRS NUMBER: 542157878 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 BOYLSTON STREET STREET 2: SUITE 1250 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: (617) 848-2500 MAIL ADDRESS: STREET 1: 500 BOYLSTON STREET STREET 2: SUITE 1250 CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z PARTNERS LTD CENTRAL INDEX KEY: 0001075558 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161599691 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128988700 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z PARTNERS LP CENTRAL INDEX KEY: 0001075560 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161599692 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128988700 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z FINANCIAL SERVICES FUND II LP CENTRAL INDEX KEY: 0001075567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161599693 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128988700 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. CENTRAL INDEX KEY: 0001308745 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161599694 BUSINESS ADDRESS: STREET 1: 54 THOMPSON ST. CITY: NEW YORK STATE: NY ZIP: 10012 BUSINESS PHONE: 212-965-2458 MAIL ADDRESS: STREET 1: 54 THOMPSON ST. CITY: NEW YORK STATE: NY ZIP: 10012 FORMER NAME: FORMER CONFORMED NAME: Capital Z Financial Services Private Fund II, L.P. DATE OF NAME CHANGE: 20041115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Capital Z Partners Management, LLC CENTRAL INDEX KEY: 0001455704 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161599697 BUSINESS ADDRESS: STREET 1: 142 WEST 57TH STREET STREET 2: 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212 965-2328 MAIL ADDRESS: STREET 1: 142 WEST 57TH STREET STREET 2: 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Capital Z Partners III GP, Ltd. CENTRAL INDEX KEY: 0001419137 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161599698 BUSINESS ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212 965-2328 MAIL ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 FORMER NAME: FORMER CONFORMED NAME: Union Square Partners GP, Ltd. DATE OF NAME CHANGE: 20071120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Capital Z Partners III GP, L.P. CENTRAL INDEX KEY: 0001419136 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161599695 BUSINESS ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212 965-2328 MAIL ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 FORMER NAME: FORMER CONFORMED NAME: Union Square Partners GP, L.P. DATE OF NAME CHANGE: 20071120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COOPER BRADLEY E CENTRAL INDEX KEY: 0001008262 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161599690 MAIL ADDRESS: STREET 1: UNIVERSAL AMERICAN FINANCIAL CORP STREET 2: 6 INTERNATIONAL DR STE 190 CITY: RYE BROOK STATE: NY ZIP: 10573 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Capital Z Partners III, L.P. CENTRAL INDEX KEY: 0001419144 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161599696 BUSINESS ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212 965-2328 MAIL ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 FORMER NAME: FORMER CONFORMED NAME: Union Square Partners, L.P. DATE OF NAME CHANGE: 20071120 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-04-26 0001373561 NewStar Financial, Inc. NEWS 0001419137 Capital Z Partners III GP, Ltd. 142 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001455704 Capital Z Partners Management, LLC 142 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001419144 Capital Z Partners III, L.P. 142 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001419136 Capital Z Partners III GP, L.P. 142 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001308745 CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. 142 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001075567 CAPITAL Z FINANCIAL SERVICES FUND II LP 142 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001075560 CAPITAL Z PARTNERS LP 142 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001075558 CAPITAL Z PARTNERS LTD 142 WEST 57TH STREET NEW YORK NY 10019 0 0 1 0 0001008262 COOPER BRADLEY E 142 WEST 57TH STREET NEW YORK NY 10019 1 0 1 0 Common Stock 4000000 I See Footnotes Common Stock 2016-04-26 4 X 0 5000 2.20 A 5577168 I See Footnotes Common Stock 2016-04-26 4 F 0 1107 9.94 D 5576061 I See Footnotes Common Stock 29919 D Stock Option (right to buy) 2.20 2016-04-26 4 X 0 5000 0 D 2016-05-13 Common Stock 5000 0 I See Footnotes See Footnote 1 in Exhibit 99.1. See Footnote 2 in Exhibit 99.1. See Footnote 3 in Exhibit 99.1. See Footnote 4 in Exhibit 99.1. The options became fully vested and exercisable as of May 13, 2012. See Exhibit 99.1 - Footnotes incorporated herein by reference. Capital Z Partners III GP, Ltd. is the designated filer for all the reporting persons on this Form 4. /s/ Craig Fisher, Authorized Signatory for Capital Z Partners III GP, Ltd. 2016-04-28 /s/ Craig Fisher, Authorized Signatory for Capital Z Partners Management, LLC 2016-04-28 /s/ Craig Fisher, Authorized Signatory for Capital Z Partners III, L.P. 2016-04-28 /s Craig Fisher, Authorized Signatory for Capital Z Partners III GP, L.P. 2016-04-28 /s/ Craig Fisher, Authorized Signatory for Capital Z Financial Services Private Fund II, L.P. 2016-04-28 /s/ Craig Fisher, Authorized Signatory for Capital Z Financial Services Fund II, L.P. 2016-04-28 /s/ Craig Fisher, Authorized Signatory for Capital Z Partners, L.P. 2016-04-28 /s/ Craig Fisher, Authorized Signatory for Capital Z Partners, Ltd. 2016-04-28 /s/ Bradley E. Cooper 2016-04-28 EX-99 2 capzexhibit99.htm

EXHIBIT 99.1



FOOTNOTES



(1)  Directly owned by Capital Z Partners III, L.P.

("Capital Z III Fund").  Capital Z Partners III GP, L.P.

("Capital Z III GP LP") is the general partner of Capital Z III Fund.

Capital Z Partners III GP, Ltd. ("Capital Z III GP LTD") is the general

partner of Capital Z III LP and the ultimate general partner of Capital Z

III Fund.  Capital Z Partners Management, LLC ("CZPM") performs investment

management services for Capital Z III Fund.  CZPM, Capital Z III GP LP,

Capital Z III LP LTD and Capital Z III Fund may be deemed to be part of a

"group" (within the meaning of Rule 13d-5(b) under the Securities Exchange

Act of 1934, as amended (the "Exchange Act"), and incorporated by reference

in Rule 16a-1 of the Exchange Act) but each individual entity described above

disclaims beneficial ownership of securities held by any other entity except

to the extent of any indirect pecuniary interest therein (within the meaning

of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the

securities beneficially owned by such other entity.



(2) Represents securities of the Issuer held directly by Capital Z

Financial Services Fund II, L.P. ("Capital Z Fund"), Capital Z Financial

Services Private Fund II, L.P. ("Capital Z Private Fund"), and CZPM. The

sole general partner of Capital Z Fund and Capital Z Private Fund is Capital

Z Partners, L.P. ("Capital Z GP LP"), the sole general partner of Capital Z

GP LP is Capital Z Partners, Ltd. ("Capital Z GP LTD").  CZPM performs

investment management services for Capital Z Fund and Capital Z Private Fund.

By reason of the provisions of Rule 16a-1 of the Exchange Act, Capital Z GP

LP, Capital Z GP LTD and CZPM may be deemed to be the beneficial owners of the

securities held by Capital Z Fund and Capital Z Private Fund and, with respect

to Capital Z GP LP, and Capital Z GP LTD, also held by CZPM although Capital Z

GP LP, Capital Z GP LTD and CZPM disclaim beneficial ownership of such

securities, except with respect to the securities of the Issuer held directly

by it and to the extent of any indirect pecuniary interest therein (within the

meaning of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the

securities beneficially owned by Capital Z Fund and Capital Z Private Fund.



(3) Bradley E. Cooper is a lmited partner of both Capital Z III GP LP

and Capital Z GP LP, and he is an officer and co-owner of CZPM.  Mr. Cooper

disclaims beneficial ownership of such securities except to the extent of any

indirect pecuniary interest therein.



(4) Directly owned by Bradley E. Cooper.