-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Tx83VSlCEOT5Wr9/Ld93w0gRqdkwBZWqGl1LdnVfTOPKKJG7Dqu+v3cHzDN3XVEM noTbCqqVmdy8Wu1e+PkvDw== 0000769993-07-000968.txt : 20070928 0000769993-07-000968.hdr.sgml : 20070928 20070928174541 ACCESSION NUMBER: 0000769993-07-000968 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070920 FILED AS OF DATE: 20070928 DATE AS OF CHANGE: 20070928 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NOVASTAR FINANCIAL INC CENTRAL INDEX KEY: 0001025953 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 742830661 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8140 WARD PARKWAY STREET 2: STE 300 CITY: KANSAS CITY STATE: MO ZIP: 64114 BUSINESS PHONE: 8162377000 MAIL ADDRESS: STREET 1: 8140 WARD PARKWAY STREET 2: STE 300 CITY: KANSAS CITY STATE: MO ZIP: 64114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Global Securities Services CENTRAL INDEX KEY: 0001384988 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13533 FILM NUMBER: 071143723 BUSINESS ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212-902-1000 MAIL ADDRESS: STREET 1: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC/ CENTRAL INDEX KEY: 0000886982 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1124 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13533 FILM NUMBER: 071143724 BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2129021000 MAIL ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 3 1 nfi320070920gss_ex.xml X0202 3 2007-09-20 0 0001025953 NOVASTAR FINANCIAL INC NFI 0000886982 GOLDMAN SACHS GROUP INC/ 85 BROAD ST NEW YORK NY 10004 0 0 1 0 0001384988 Global Securities Services 85 BROAD STREET NEW YORK NY 10004 0 0 1 0 Common Stock 998388 I See footnote 8.90% Series C Nonconvertible Preferred Stock 100 I See footnote Call option (obligation to sell) 10 2007-09-22 Common Stock 107500 I See footnote Call option (obligation to sell) 12.5 2007-09-22 Common Stock 80000 I See footnote Call option (obligation to sell) 15 2007-09-22 Common Stock 31250 I See footnote Call option (obligation to sell) 7.5 2007-12-22 Common Stock 4650 I See footnote Call option (obligation to sell) 10 2007-12-22 Common Stock 106500 I See footnote Call option (obligation to sell) 12.5 2007-12-22 Common Stock 3825 I See footnote Call option (obligation to sell) 15 2007-12-22 Common Stock 550000 I See footnote Call option (obligation to sell) 7.5 2008-01-19 Common Stock 2500 I See footnote Call option (obligation to sell) 10 2008-01-19 Common Stock 77675 I See footnote Call option (obligation to sell) 12.5 2008-01-19 Common Stock 2500 I See footnote Call option (obligation to sell) 35 2008-01-19 Common Stock 55000 I See footnote Put option (right to sell) 10 2007-09-22 Common Stock 107500 I See footnote Put option (right to sell) 12.5 2007-09-22 Common Stock 80000 I See footnote Put option (right to sell) 15 2007-09-22 Common Stock 31250 I See footnote Put option (right to sell) 7.5 2007-12-22 Common Stock 6250 I See footnote Put option (right to sell) 10 2007-12-22 Common Stock 127675 I See footnote Put option (right to sell) 15 2007-12-22 Common Stock 550000 I See footnote Put option (right to sell) 7.5 2008-01-19 Common Stock 9600 I See footnote Put option (right to sell) 10 2008-01-19 Common Stock 83275 I See footnote Put option (right to sell) 35 2008-01-19 Common Stock 55000 I See footnote This statement is being filed by The Goldman Sachs Group, Inc. ("GS Group") and Global Securities Services ("GSS", and together with GS Group, the "Reporting Persons"), a separate business unit within the Goldman Sachs organization. GSS beneficially owns directly and GS Group may be deemed to beneficially own indirectly the securities reported herein. Immediately exercisable. /s/ Andrea DeMar, Attorney-in-fact 2007-09-28 /s/ Andrea DeMar, Attorney-in-fact 2007-09-28 EX-24 2 gsgpoa.txt POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS that THE GOLDMAN SACHS GROUP, INC. (the "Company") does hereby make, constitute and appoint each of Roger S. Begelman, Yvette Kosic, Andrea Louro DeMar, John M. O'Rourke, Felicia J. Rector, Michael T. Seeley, and Stephen Wong, (and any other employee of The Goldman Sachs Group, Inc. or one of its affiliates designated in writing by one of the attorneys-in-fact), acting individually, its true and lawful attorney, to execute and deliver in it name and on its behalf whether the Company is acting individually or as representative of others, any and all filings required to be made by the Company under the Securities Exchange Act of 1934, (as amended, the "Act"), with respect to securities which may be deemed to be beneficially owned by the Company under the Act, giving and granting unto each said attorney-in-fact power and authority to act in the premises as fully and to all intents and purposes as the Company might or could do if personally present by one of its authorized signatories, hereby ratifying and confirming all that said attorney-in-fact shall lawfully do or cause to be done by virtue hereof. THIS POWER OF ATTORNEY shall remain in full force and effect until either revoked in writing by the undersigned or until such time as the person or persons to whom power of attorney has been hereby granted cease(s) to be an employee of The Goldman Sachs Group, Inc. or one of its affiliates. IN WITNESS WHEREOF, the undersigned has duly subscribed these presents as of May 23, 2006. THE GOLDMAN SACHS GROUP, INC. /s/ GREGORY K. PALM - ------------------------------------------------ GREGORY K. PALM Executive Vice President and General Counsel -----END PRIVACY-ENHANCED MESSAGE-----