0000908662-17-000111.txt : 20170518 0000908662-17-000111.hdr.sgml : 20170518 20170518161357 ACCESSION NUMBER: 0000908662-17-000111 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170516 FILED AS OF DATE: 20170518 DATE AS OF CHANGE: 20170518 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: 17855057 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 2017-05-16 0001373561 NewStar Financial, Inc. NEWS 0001008262 COOPER BRADLEY E C/O NEWSTAR FINANCIAL, INC. 500 BOYLSTON STREET, SUITE 1250 BOSTON MA 02116 1 0 0 0 Common Stock 2017-05-16 4 A 0 7731 0 A 40368 D Common Stock 4000000 I See Footnote Common Stock 40244 I See Footnote The securities reported are shares of restricted stock which will vest in full on the one year anniversary of the grant date. 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") and Capital Z Partners Management, LLC ("CZPM") performs investment management services for Capital Z III Fund. Bradley E. Cooper is a limited partner of Capital Z III GP LP, which may be deemed to be the beneficial owner of the securities held by Capital Z III Fund. Mr. Cooper, Capital Z III GP LP and CZPM disclaim beneficial ownership of securities beneficially owned by Capital Z III Fund, except to the extent of any pecuniary interest therein. Represents securities held directly by CZPM. Bradley E. Cooper is an officer and co-owner of CZPM. Mr. Cooper disclaims beneficial ownership of securities beneficially owned by CZPM, except to the extent of any pecuniary interest therein. /s/ John K. Bray as attorney-in-fact 2017-05-18 EX-24 2 attach_1.htm

POWER OF ATTORNEY





Know all by these presents, that the undersigned hereby constitutes

and appoints each of Timothy J. Conway, John K. Bray, Robert K.

Brown and Daniel K. Crowley, or each of them acting individually,

the undersigned's true and lawful attorney-in-fact to:



(1) execute for and on behalf of the undersigned a Form ID

application to be filed with the U.S. Securities and

Exchange Commission to obtain EDGAR codes for the undersigned,

including amendments thereto and any other documents necessary

or appropriate in connection therewith;



(2) execute for and on behalf of the undersigned Forms 3, 4,

and 5 with respect to the securities of NewStar Financial, Inc.

(the "Company") in accordance with Section 16(a) of the Securities

Exchange Act of 1934 and the rules thereunder;



(3) do and perform any and all acts for and on behalf of the

undersigned which may be necessary or desirable to complete and

execute any such Form ID application or Form 3, 4, or 5, complete and

execute any amendment or amendments thereto, and timely file such

forms with the U.S. Securities and Exchange Commission and any stock

exchange or similar authority; and



(4) take any other action of any type whatsoever in connection

with the foregoing which, in the opinion of such attorney-in-fact, may

be of benefit to, in the best interest of, or legally required by, the

undersigned, it being understood that the documents executed by

such attorney-in-fact on behalf of the undersigned pursuant to this

Power of Attorney shall be in such form and shall contain such terms

and conditions as such attorney-in-fact may approve in such

attorney-in-fact's discretion.



The undersigned hereby grants to each such attorney-in-fact full

power and authority to do and perform any and every act and thing

whatsoever requisite, necessary, or proper to be done in the exercise

of any of the rights and powers herein granted, as fully to all intents

and purposes as the undersigned might or could do if personally present,

with full power of substitution or revocation, hereby

ratifying and confirming all that such attorney-in-fact, or such

attorney-in-fact's substitute or substitutes, shall lawfully do or

cause to be done by virtue of this power of attorney and the rights

and powers herein granted.  The undersigned acknowledges that the

foregoing attorneys-in-fact, in serving in such capacity at the request

of the undersigned, are not assuming, nor is the Company assuming,

any of the undersigned's responsibilities to comply with Section 16 of

the Securities Exchange Act of 1934, as amended.



This Power of Attorney supersedes any power of attorney previously

executed by the undersigned regarding the purposes outlined in the

first paragraph hereof ("Prior Powers of Attorney") and the authority

of the attorneys-in-fact named in any Prior Powers of Attorney is

hereby revoked.



This Power of Attorney shall remain in full force and effect until

the undersigned is no longer required to file Forms 3, 4, and 5 with

respect to the undersigned's holdings of and transactions in securities

issued by the Company, unless earlier (a) revoked by the undersigned in

a signed writing delivered to the foregoing attorneys-in-fact or (b)

superseded by a new power of attorney regarding the purposes outlined

in the first paragraph hereof dated as of a later date.



IN WITNESS WHEREOF, the undersigned has caused this Power of

Attorney to be executed as of May 16, 2017.



Signed: /s/ Bradley E. Cooper

 Bradley E. Cooper