0000908662-17-000091.txt : 20170406
0000908662-17-000091.hdr.sgml : 20170406
20170406161021
ACCESSION NUMBER: 0000908662-17-000091
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170404
FILED AS OF DATE: 20170406
DATE AS OF CHANGE: 20170406
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: 17746071
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 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: 17746072
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: 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: 17746073
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
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: 17746074
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: 17746075
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-04-04
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
0001008262
COOPER BRADLEY E
142 WEST 57TH STREET
NEW YORK
NY
10019
1
0
1
0
Common Stock
4000000
I
See Footnote
Common Stock
2017-04-04
4
J
0
10094
D
32637
I
See Footnote
Common Stock
2017-04-04
4
J
0
10094
A
39064
I
See Footnote
Represents securities held directly by Capital Z Partners III, L.P. ("Capital Z III Fund"). The sole general partner of Capital Z III Fund is Capital Z Partners III GP, L.P. ("Capital Z III GP LP"), whose sole general partner is Capital Z Partners III GP, Ltd. ("Capital Z III GP LTD"). CZPM performs investment management services for Capital Z III Fund. By reason of the provisions of Rule 16a-1 of the Exchange Act, Capital Z III GP LP, Capital Z III LP LTD and CZPM may be deemed to be the beneficial owners of the securities held by Capital Z III Fund, 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.
Mr. Cooper transferred the shares to CZPM for no consideration.
Directly owned by Bradley E. Cooper. Bradley E. Cooper is a limited partner of Capital Z III GP LP, and he is an officer and co-owner of CZPM. Mr. Cooper disclaims beneficial ownership of securities beneficially owned by them, except to the extent of any pecuniary interest therein.
Represents securities held directly by CZPM.
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.
2017-04-06
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners Management, LLC
2017-04-06
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners III, L.P.
2017-04-06
/s Craig Fisher, Authorized Signatory for Capital Z Partners III GP, L.P.
2017-04-06
/s/ Bradley E. Cooper
2017-04-06