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