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