0000947871-16-001162.txt : 20160512
0000947871-16-001162.hdr.sgml : 20160512
20160512170054
ACCESSION NUMBER: 0000947871-16-001162
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160510
FILED AS OF DATE: 20160512
DATE AS OF CHANGE: 20160512
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CENTRUE FINANCIAL CORP
CENTRAL INDEX KEY: 0001019650
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
IRS NUMBER: 363145350
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 122 WEST MADISON ST.
STREET 2: --
CITY: OTTAWA
STATE: IL
ZIP: 61350
BUSINESS PHONE: 815-434-3900
MAIL ADDRESS:
STREET 1: 122 WEST MADISON ST.
STREET 2: --
CITY: OTTAWA
STATE: IL
ZIP: 61350
FORMER COMPANY:
FORMER CONFORMED NAME: UNIONBANCORP INC
DATE OF NAME CHANGE: 19960724
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: 001-37574
FILM NUMBER: 161644783
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, 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: 001-37574
FILM NUMBER: 161644784
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
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: 001-37574
FILM NUMBER: 161644785
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 Centrue AIV, L.P.
CENTRAL INDEX KEY: 0001649464
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37574
FILM NUMBER: 161644786
BUSINESS ADDRESS:
STREET 1: C/O CAPITAL Z
STREET 2: 142 WEST 57TH STREET, 3RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 2129652328
MAIL ADDRESS:
STREET 1: C/O CAPITAL Z
STREET 2: 142 WEST 57TH STREET, 3RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
4
1
ss1473624_4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-05-10
0
0001019650
CENTRUE FINANCIAL CORP
CFCB
0001008262
COOPER BRADLEY E
142 WEST 57TH STREET,
3RD FLOOR
NEW YORK
NY
10019
1
0
1
0
0001649464
Capital Z Partners Centrue AIV, L.P.
142 WEST 57TH STREET,
3RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001419136
Capital Z Partners III GP, L.P.
142 WEST 57TH STREET,
3RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001419137
Capital Z Partners III GP, Ltd.
142 WEST 57TH STREET,
3RD FLOOR
NEW YORK
NY
10019
0
0
1
0
COMMON STOCK
1533333
I
See footnotes
RESTRICTED STOCK UNITS
0
2016-05-10
4
A
0
598.0861
0
A
COMMON STOCK
598.0861
598.0861
D
Directly owned by Capital Z Partners Centrue AIV, L.P. ("Capital Z Centrue"). Capital Z Partners III GP, L.P. ("Capital Z III GP LP") is the general partner of Capital Z Centrue. Capital Z Partners III GP, Ltd. ("Capital Z III GP LTD") is the general partner of Capital Z III GP LP and the ultimate general partner of Capital Z Centrue. Each of Capital Z III GP LP, Capital Z III GP LTD and Capital Z Centrue disclaims beneficial ownership of securities held by any other entity except to the extent of any indirect pecuniary interest (within the meaning of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the securities beneficially owned by such other entity.
Bradley E. Cooper, a director of the Issuer, is a limited partner of Capital Z III GP LP and is an officer and director of Capital Z III GP LTD. Mr. Cooper disclaims beneficial ownership of such securities except to the extent of any indirect pecuniary interest in an indeterminate portion of the securities beneficially owned by such other entities.
Restricted stock units ("RSUs") granted to Mr. Cooper under the Issuer's 2015 Stock Compensation Plan. Two-thirds of the RSUs are scheduled to vest on May 10, 2018 and one-third are scheduled to vest on May 10, 2019. Pursuant to the award agreement relating to the RSUs, Mr. Cooper has assigned all beneficial ownership in the RSUs to Capital Z Partners Management, LLC, an affiliate of Capital Z III GP LTD and an entity for which Mr. Cooper is a partner and director.
/s/ Bradley E. Cooper
2016-05-12
/s/ Craig Fisher, General Counsel - Authorized Signatory for Capital Z Partners Centrue AIV, L.P.
2016-05-12
/s/ Craig Fisher, General Counsel - Authorized Signatory for Capital Z Partners III GP, L.P.
2016-05-12
/s/ Craig Fisher, General Counsel - Authorized Signatory for Capital Z Partners III GP, Ltd.
2016-05-12