0001567619-16-003192.txt : 20161109
0001567619-16-003192.hdr.sgml : 20161109
20161109160230
ACCESSION NUMBER: 0001567619-16-003192
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161108
FILED AS OF DATE: 20161109
DATE AS OF CHANGE: 20161109
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 LTD
CENTRAL INDEX KEY: 0001075558
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33211
FILM NUMBER: 161984177
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: 161984178
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: 161984179
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: 161984180
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 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: 161984182
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: 161984183
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 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: 161984181
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: 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: 161984176
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: 001-33211
FILM NUMBER: 161984184
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
4
1
form4.xml
FORM 4
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2016-11-08
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142 WEST 57TH STREET
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10019
true
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142 WEST 57TH STREET
NEW YORK
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true
0001075560
CAPITAL Z PARTNERS LP
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10019
true
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CAPITAL Z PARTNERS LTD
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NEW YORK
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10019
true
0001008262
COOPER BRADLEY E
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true
Common Stock
2016-11-08
4
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0
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See footnote
Common Stock
2016-11-08
4
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0
18805
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See footnote
Common Stock
28970
I
See footnote
Common Stock
4000000
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See footnote
Common Stock
2016-11-08
4
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See footnote
Pro rata distributions, without consideration, from Capital Z Financial Services Fund II, L.P. ("Capital Z Fund") and Capital Z Financial Services Private Fund II, L.P. ("Capital Z Private Fund").
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 Fund.
The sole general partner of Capital Z Fund and 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.
2016-11-09
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners Management, LLC
2016-11-09
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners III, L.P.
2016-11-09
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners III GP, L.P.
2016-11-09
/s/ Craig Fisher, Authorized Signatory for Capital Z Financial Services Private Fund II, L.P.
2016-11-09
/s/ Craig Fisher, Authorized Signatory for Capital Z Financial Services Fund II, L.P.
2016-11-09
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners, L.P.
2016-11-09
/s/ Craig Fisher, Authorized Signatory for Capital Z Partners, Ltd.
2016-11-09
/s/ Bradley E. Cooper
2016-11-09