0000908662-16-000534.txt : 20160516 0000908662-16-000534.hdr.sgml : 20160516 20160516174846 ACCESSION NUMBER: 0000908662-16-000534 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160512 FILED AS OF DATE: 20160516 DATE AS OF CHANGE: 20160516 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: 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: 161655510 MAIL ADDRESS: STREET 1: UNIVERSAL AMERICAN FINANCIAL CORP STREET 2: 6 INTERNATIONAL DR STE 190 CITY: RYE BROOK STATE: NY ZIP: 10573 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-05-12 0001373561 NewStar Financial, Inc. NEWS 0001008262 COOPER BRADLEY E C/O NEWSTAR FINANCIAL, INC. 500 BOYLSTON STREET, SUITE 1250 BOSTON MA 02116 1 0 1 0 Common Stock 4000000 I See notes Common Stock 5576061 I See notes Common Stock 2016-05-12 4 A 0 10094 0 A 40013 D See Footnote 1 in Exhibit 99.1. See Footnote 2 in Exhibit 99.1. See Footnote 3 in Exhibit 99.1. The securities reported are shares of restricted stock which will vest in full on the one year anniversary of the grant date. /s/ John K. Bray as attorney-in-fact 2016-05-16 EX-99 2 cooperex.htm EXHIBIT 99.1

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 the 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 of 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

each 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, a director of NewStar Financial, Inc., is a

limited 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.