0001140361-16-090328.txt : 20161220
0001140361-16-090328.hdr.sgml : 20161220
20161220114940
ACCESSION NUMBER: 0001140361-16-090328
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161216
FILED AS OF DATE: 20161220
DATE AS OF CHANGE: 20161220
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 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: 162060745
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: 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: 162060746
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: 162060747
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: 162060748
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 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: 162060749
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
4
1
form4.xml
FORM 4
X0306
4
2016-12-16
0001373561
NewStar Financial, Inc.
NEWS
0001008262
COOPER BRADLEY E
142 WEST 57TH STREET
NEW YORK
NY
10019
true
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
0001419136
Capital Z Partners III GP, L.P.
142 WEST 57TH STREET
NEW YORK
NY
10019
true
Common Stock
28970
I
See footnote
Common Stock
4000000
I
See footnote
Common Stock
2016-12-16
4
S
0
7216
9.21
D
38667
D
Common Stock
2016-12-19
4
S
0
6030
9.17
D
32637
D
Represents securities held directly by Capital Z Partners Management, LLC ("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.
The prices reported in Column 4 of Table I are weighted average prices. These shares were sold in multiple transactions at prices ranging from $9.08 to $9.6075 on December 16, 2016 and from $9.00 to $9.29 on December 19, 2016. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the United States Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Represents securities held directly by Bradley E. Cooper. Bradley E. Cooper is a limited partner of Capital Z III 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/ Bradley E. Cooper
2016-12-20
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners III GP, Ltd.
2016-12-20
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners Management, LLC
2016-12-20
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners III, L.P.
2016-12-20
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners III GP, L.P.
2016-12-20