0000908662-17-000239.txt : 20171222
0000908662-17-000239.hdr.sgml : 20171222
20171222145826
ACCESSION NUMBER: 0000908662-17-000239
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171221
FILED AS OF DATE: 20171222
DATE AS OF CHANGE: 20171222
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: 171272482
MAIL ADDRESS:
STREET 1: UNIVERSAL AMERICAN FINANCIAL CORP
STREET 2: 6 INTERNATIONAL DR STE 190
CITY: RYE BROOK
STATE: NY
ZIP: 10573
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2017-12-21
1
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
2017-12-21
4
J
0
7731
D
84165
D
Common Stock
2017-12-21
4
J
0
7731
A
47975
I
See Footnote
Common Stock
2017-12-22
4
D
0
84165
D
0
D
Common Stock
2017-12-22
4
D
0
47975
D
0
I
See Footnote
Stock Option (Right to Buy)
10.11
2017-12-22
4
D
0
5000
D
2012-05-11
2018-05-11
Common Stock
5000
0
I
See Foontote
Mr. Cooper transferred to Capital Z Partners Management, LLC ("CZPM") the shares for no consideration on the Transaction Date.
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.
Pursuant to the Agreement and Plan of Merger among the Issuer, First Eagle Holdings, Inc., FE Holdco, LLC, and FE Merger Sub, Inc. (the "Merger Agreement"), each share is being cancelled in exchange for (1) $11.44 in cash payment and (ii) one contingent value right.
Pursuant to the Merger Agreement, the option is being cancelled in exchange for (1) $11.44, minus the exercise price, for each underlying share, in cash payment and (ii) one contingent value right.
/s/ John K. Bray as attorney-in-fact
2017-12-22