0001140361-15-026076.txt : 20150630 0001140361-15-026076.hdr.sgml : 20150630 20150630172805 ACCESSION NUMBER: 0001140361-15-026076 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150629 FILED AS OF DATE: 20150630 DATE AS OF CHANGE: 20150630 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: 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: 15962266 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 LTD CENTRAL INDEX KEY: 0001075558 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 15962267 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128988700 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z PARTNERS LP CENTRAL INDEX KEY: 0001075560 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 15962268 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128988700 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z FINANCIAL SERVICES FUND II LP CENTRAL INDEX KEY: 0001075567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 15962269 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128988700 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: 15962272 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 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: 15962273 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 FINANCIAL SERVICES PRIVATE FUND II, L.P. CENTRAL INDEX KEY: 0001308745 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 15962270 BUSINESS ADDRESS: STREET 1: 54 THOMPSON ST. CITY: NEW YORK STATE: NY ZIP: 10012 BUSINESS PHONE: 212-965-2458 MAIL ADDRESS: STREET 1: 54 THOMPSON ST. CITY: NEW YORK STATE: NY ZIP: 10012 FORMER NAME: FORMER CONFORMED NAME: Capital Z Financial Services Private Fund II, L.P. DATE OF NAME CHANGE: 20041115 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: 15962265 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: 15962271 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 4 1 doc1.xml FORM 4 X0306 4 2015-06-29 0 0001373561 NewStar Financial, Inc. NEWS 0001419137 Capital Z Partners III GP, Ltd. 142 WEST 57TH STREET, 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001419144 Capital Z Partners III, L.P. 142 WEST 57TH STREET, 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001419136 Capital Z Partners III GP, L.P. 142 WEST 57TH STREET, 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001308745 CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. 142 WEST 57TH STREET, 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001075567 CAPITAL Z FINANCIAL SERVICES FUND II LP 142 WEST 57TH STREET, 3RD FLOOR NEW YORK NY 10019 0 0 1 0 See Remarks Section 0001075560 CAPITAL Z PARTNERS LP 142 WEST 57TH STREET, 3RD FLOOR NEW YORK NY 10019 0 0 1 0 See Remarks Section 0001075558 CAPITAL Z PARTNERS LTD 142 WEST 57TH STREET, 3RD FLOOR NEW YORK NY 10019 0 0 1 1 See Remarks Section 0001455704 Capital Z Partners Management, LLC 142 WEST 57TH STREET, 3RD FLOOR NEW YORK NY 10019 0 0 1 0 See Remarks Section 0001008262 COOPER BRADLEY E C/O CAPITAL Z PARTNERS MANAGEMENT, LLC 142 WEST 57TH STREET, 3RD FLOOR NEW YORK NY 10019 1 0 1 0 Common Stock 4000000 I See notes Common Stock 2015-06-29 4 J 0 7002 A 5572168 I See notes Common Stock 2015-06-29 4 J 0 7002 D 29919 D See Footnote 1 in Exhibit 99.1. See Footnote 2 in Exhibit 99.1. See Footnote 3 in Exhibit 99.1. See Footnote 4 in Exhibit 99.1. See Footnote 5 in Exhibit 99.1. See Exhibit 99.1 - Footnotes and Joint Filer Information incorporated herein by reference. /s/ Craig Fisher - Authorized Signatory for Capital Z Partners III GP, Ltd. 2015-06-30 EX-99.1 2 ex99_1.htm
Exhibit 99.1

Footnotes:

(1) Directly owned by Capital Z Partners III, L.P. (“Capital Z III Fund”). Capital Z Partners III GP, L.P. ("Capital Z III GP LP") is the general partner of Capital Z III Fund. Capital Z Partners III GP, Ltd. ("Capital Z III GP LTD") is the general partner of Capital Z III LP and the ultimate general partner of Capital Z III Fund. Capital Z Partners Management, LLC ("CZPM") performs investment management services for Capital Z III Fund.  CZPM, Capital Z III GP LP, Capital Z III LP LTD and Capital Z III Fund may be deemed to be part of a "group" (within the meaning of Rule 13d-5(b) under the Securities Exchange of 1934, as amended (the “Exchange Act”),  and incorporated by reference in Rule 16a-1 of the Exchange Act) 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 (within the meaning of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the securities beneficially owned by such other entity.

(2) Represents securities of the Issuer held directly by Capital Z Financial Services Fund II, L.P. (“Capital Z Fund”), Capital Z Financial Services Private Fund II, L.P. (“Capital Z Private Fund”), and CZPM.  The sole general partner of Capital Z Fund and Capital Z Private Fund is Capital Z Partners, L.P. (“Capital Z GP LP”), the sole general partner of Capital Z GP LP is Capital Z Partners, Ltd. (“Capital Z GP LTD”).  CZPM performs investment management services for Capital Z Fund and Capital Z Private Fund. By reason of the provisions of Rule 16a-1 of the Exchange Act, Capital Z GP LP, Capital Z GP LTD and CZPM may be deemed to be the beneficial owners of the securities held by Capital Z Fund and Capital Z Private Fund and, with respect to Capital Z GP LP, and Capital Z GP LTD, also held by CZPM although Capital Z GP LP, Capital Z GP LTD and CZPM disclaim beneficial ownership of such securities, except with respect to the securities of the Issuer held directly by it and to the extent of any indirect pecuniary interest therein (within the meaning of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the securities beneficially owned by Capital Z Fund and Capital Z Private Fund.

(3) Bradley E. Cooper is a limited partner of both Capital Z III GP LP and Capital Z GP LP, and he is an officer and co-owner of CZPM.  Mr. Cooper disclaims beneficial ownership of such securities except to the extent of any indirect pecuniary interest therein.

(4) Mr. Cooper transferred to CZPM the shares for no consideration.

(5) Directly owned by Bradley E. Cooper.
 
Joint Filer Information

Name of Joint Filer:
Capital Z Partners III, L.P.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other
   
Issuer Name and Ticker or Trading Symbol:
NewStar Financial, Inc. (NEWS)
   
Date of Earliest Transaction Required
  
To Be Reported (Month/Day/Year):
06/29/2015
   
Designated Filer:
Capital Z Partners III GP, Ltd.

Signature:

Capital Z Partners III, L.P.
By:
Capital Z Partners III GP, L.P., its General Partner
By:
Capital Z Partners III GP, Ltd., its General Partner

/s/ Craig Fisher
  
Name:  Craig Fisher
  
Title:  General Counsel - Authorized Signatory 

June 30, 2015
Date
Joint Filer Information

Name of Joint Filer:
Capital Z Partners III GP, L.P.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other
   
Issuer Name and Ticker or Trading Symbol:
NewStar Financial, Inc. (NEWS)
   
Date of Earliest Transaction Required
  
To Be Reported (Month/Day/Year):
06/29/2015
   
Designated Filer:
Capital Z Partners III GP, Ltd.

Signature:

Capital Z Partners III GP, L.P.
By:
Capital Z Partners III GP, Ltd., its General Partner

/s/ Craig Fisher
  
Name: Craig Fisher
  
Title: General Counsel - Authorized Signatory 
June 30, 2015
Date
Joint Filer Information

Name of Joint Filer:
Capital Z Partners III GP, Ltd.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other
   
Issuer Name and Ticker or Trading Symbol:
NewStar Financial, Inc. (NEWS)
   
Date of Earliest Transaction Required
  
To Be Reported (Month/Day/Year):
06/29/2015
   
Designated Filer:
Capital Z Partners III GP, Ltd.
   
Signature:
  
   
Capital Z Partners III GP, Ltd.
  

/s/ Craig Fisher
  
Name: Craig Fisher
  
Title: General Counsel - Authorized Signatory 

June 30, 2015
Date
Joint Filer Information

Name of Joint Filer:
Capital Z Financial Services Private Fund II, L.P.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other
   
Issuer Name and Ticker or Trading Symbol:
NewStar Financial, Inc. (NEWS)
   
Date of Earliest Transaction Required
  
To Be Reported (Month/Day/Year):
06/29/2015
   
Designated Filer:
Capital Z Partners III GP, Ltd.

Signature:

Capital Z Financial Services Private Fund II, L.P.
By:
 Capital Z Partners, L.P., its General Partner
By:
 Capital Z Partners, Ltd., its General Partner

/s/ Craig Fisher
  
Name: Craig Fisher
  
Title: General Counsel - Authorized Signatory 

June 30, 2015
Date

Joint Filer Information

Name of Joint Filer:
Capital Z Financial Services Fund II, L.P.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
10% Owner
   
Issuer Name and Ticker or Trading Symbol:
NewStar Financial, Inc. (NEWS)
   
Date of Earliest Transaction Required
  
To Be Reported (Month/Day/Year):
06/29/2015
   
Designated Filer:
Capital Z Partners III GP, Ltd.

Signature:

Capital Z Financial Services Fund II, L.P.
By:
 Capital Z Partners, L.P., its General Partner
By:
 Capital Z Partners, Ltd., its General Partner

/s/ Craig Fisher
  
Name: Craig Fisher
  
Title: General Counsel - Authorized Signatory 

June 30, 2015
Date
Joint Filer Information

Name of Joint Filer:
Capital Z Partners, L.P.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
10% Owner
   
Issuer Name and Ticker or Trading Symbol:
NewStar Financial, Inc. (NEWS)
   
Date of Earliest Transaction Required
  
To Be Reported (Month/Day/Year):
06/29/2015
   
Designated Filer:
Capital Z Partners III GP, Ltd.

Signature:

Capital Z Partners, L.P.
By:
 Capital Z Partners, Ltd., its General Partner

/s/ Craig Fisher
  
Name: Craig Fisher
  
Title: General Counsel - Authorized Signatory 

June 30, 2015
Date
Joint Filer Information

Name of Joint Filer:
Capital Z Partners, Ltd.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
10% Owner
   
Issuer Name and Ticker or Trading Symbol:
NewStar Financial, Inc. (NEWS)
   
Date of Earliest Transaction Required
  
To Be Reported (Month/Day/Year):
06/29/2015
   
Designated Filer:
Capital Z Partners III GP, Ltd.

Signature:

Capital Z Partners, Ltd.

/s/ Craig Fisher
Name: Craig Fisher
Title: General Counsel - Authorized Signatory

June 30, 2015
Date


Joint Filer Information

Name of Joint Filer:
Capital Z Partners Management, LLC
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
10% Owner
   
Issuer Name and Ticker or Trading Symbol:
NewStar Financial, Inc. (NEWS)
   
Date of Earliest Transaction Required
  
To Be Reported (Month/Day/Year):
06/29/2015
   
Designated Filer:
Capital Z Partners III GP, Ltd.

Signature:

Capital Z Partners Management, LLC

/s/ Craig Fisher
  
Name: Craig Fisher
  
Title: General Counsel - Authorized Signatory 

June 30, 2015
Date

Joint Filer Information

Name of Joint Filer:
Bradley E. Cooper
   
Address of Joint Filer:
c/o Capital Z Partners Management, LLC
 
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Director; 10% Owner
   
Issuer Name and Ticker or Trading Symbol:
NewStar Financial, Inc. (NEWS)
   
Date of Earliest Transaction Required
  
To Be Reported (Month/Day/Year):
06/29/2015
   
Designated Filer:
Capital Z Partners III GP, Ltd.

Signature:

/s/ Bradley E. Cooper
  
Name: Bradley E. Cooper 

June 30, 2015
Date