0001140361-16-083531.txt : 20161025 0001140361-16-083531.hdr.sgml : 20161025 20161025163626 ACCESSION NUMBER: 0001140361-16-083531 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161021 FILED AS OF DATE: 20161025 DATE AS OF CHANGE: 20161025 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: 161950751 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 LTD CENTRAL INDEX KEY: 0001075558 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 161950752 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: 161950753 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 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: 161950755 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: 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: 161950757 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 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: 161950754 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 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: 161950758 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: 001-33211 FILM NUMBER: 161950750 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 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: 161950756 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 4 1 form4.xml FORM 4 X0306 4 2016-10-21 0001373561 NewStar Financial, Inc. NEWS 0001419137 Capital Z Partners III GP, Ltd. 142 WEST 57TH STREET NEW YORK NY 10019 true 0001455704 Capital Z Partners Management, LLC 142 WEST 57TH STREET NEW YORK NY 10019 true 0001419144 Capital Z Partners III, L.P. 142 WEST 57TH STREET NEW YORK NY 10019 true 0001308745 CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. 142 WEST 57TH STREET NEW YORK NY 10019 true 0001075567 CAPITAL Z FINANCIAL SERVICES FUND II LP 142 WEST 57TH STREET NEW YORK NY 10019 true 0001075560 CAPITAL Z PARTNERS LP 142 WEST 57TH STREET NEW YORK NY 10019 true 0001075558 CAPITAL Z PARTNERS LTD 142 WEST 57TH STREET NEW YORK NY 10019 true 0001008262 COOPER BRADLEY E 142 WEST 57TH STREET NEW YORK NY 10019 true true 0001419136 Capital Z Partners III GP, L.P. 142 WEST 57TH STREET NEW YORK NY 10019 true Common Stock 2016-10-21 4 S 0 1989402 8.93 D 3528286 I See footnote Common Stock 2016-10-21 4 S 0 10598 8.93 D 18805 I See footnote Common Stock 28970 I See footnote Common Stock 4000000 I See footnote Common Stock 29919 I See footnote Disposition transactions made pursuant to a privately-negotiated repurchase agreement, which transactions are scheduled to close on or before October 28, 2016. Represents securities held directly by Capital Z Financial Services Fund II, L.P. ("Capital Z Fund"). The sole general partner of Capital Z Fund and Capital Z Financial Services Private Fund II, L.P. ("Capital Z Private Fund") is Capital Z Partners, L.P. ("Capital Z GP LP"), whose sole general partner is Capital Z Partners, Ltd. ("Capital Z GP LTD"). Capital Z Partners Management, LLC ("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, 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. Represents securities held directly by Capital Z Private Fund. Represents securities held directly by CZPM. 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"), whose sole general partner is Capital Z Partners III GP, Ltd. ("Capital Z III GP LTD"). CZPM performs investment management services for Capital Z III Fund. By reason of the provisions of Rule 16a-1 of the Exchange Act, Capital Z III GP LP, Capital Z III LP LTD and CZPM may be deemed to be the beneficial owners of the securities held by Capital Z III Fund, 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. Directly owned by Bradley E. Cooper. 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 securities beneficially owned by them, except to the extent of any pecuniary interest therein. /s/ Craig Fisher, Authorized Signatory for Capital Z Partners III GP, Ltd. 2016-10-25 /s/ Craig Fisher, Authorized Signatory for Capital Z Partners Management, LLC 2016-10-25 /s/ Craig Fisher, Authorized Signatory for Capital Z Partners III, L.P 2016-10-25 /s/ Craig Fisher, Authorized Signatory for Capital Z Financial Services Private Fund II, L.P. 2016-10-25 /s/ Craig Fisher, Authorized Signatory for Capital Z Financial Services Fund II, L.P. 2016-10-25 /s/ Craig Fisher, Authorized Signatory for Capital Z Partners, L.P. 2016-10-25 /s/ Craig Fisher, Authorized Signatory for Capital Z Partners, Ltd. 2016-10-25 /s/ Bradley E. Cooper 2016-10-25 /s/ Craig Fisher, Authorized Signatory for Capital Z Partners III GP, L.P. 2016-10-25