0000919574-14-002497.txt : 20140403
0000919574-14-002497.hdr.sgml : 20140403
20140403103711
ACCESSION NUMBER: 0000919574-14-002497
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140401
FILED AS OF DATE: 20140403
DATE AS OF CHANGE: 20140403
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NewStar Financial, Inc.
CENTRAL INDEX KEY: 0001373561
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE LESSORS [6172]
IRS NUMBER: 542157878
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: BROWN THOMAS K
CENTRAL INDEX KEY: 0001378438
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33211
FILM NUMBER: 14740735
MAIL ADDRESS:
STREET 1: C/O SECOND CURVE CAPITAL, LLC
STREET 2: 237 PARK AVENUE, 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SECOND CURVE CAPITAL LLC
CENTRAL INDEX KEY: 0001136704
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33211
FILM NUMBER: 14740736
BUSINESS ADDRESS:
STREET 1: 237 PARK AVENUE
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-563-7635
MAIL ADDRESS:
STREET 1: 237 PARK AVENUE
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
4
1
p1466617.xml
OWNERSHIP DOCUMENT
X0306
4
2014-04-01
1
0001373561
NewStar Financial, Inc.
NEWS
0001136704
SECOND CURVE CAPITAL LLC
237 PARK AVENUE
9TH FLOOR
NEW YORK
NY
10017
0
0
1
0
0001378438
BROWN THOMAS K
C/O SECOND CURVE CAPITAL, LLC
237 PARK AVENUE, 9TH FLOOR
NEW YORK
NY
10017
0
0
1
0
Common Stock, par value of $0.01
2014-04-01
4
J
0
162275
0
D
4778736
I
By advisory clients of Second Curve Capital, LLC
Common Stock, par value of $0.01
2014-04-02
4
J
0
103570
0
D
4675166
I
By advisory clients of Second Curve Capital, LLC
Second Curve Partners, L.P. and Second Curve Opportunity Fund, LP distributed the securities in-kind to certain of its partners.
These securities may be deemed to be beneficially owned by Second Curve Capital, LLC and Thomas K. Brown. Second Curve Capital, LLC is the investment manager of Second Curve Partners, L.P., Second Curve Partners II, LP, Second Curve Partners International, Ltd., Second Curve Opportunity Fund, LP, Second Curve Opportunity Fund II, LP, Second Curve Opportunity Fund International, Ltd., Second Curve Vision Fund, LP, Second Curve Vision Fund International, Ltd. Thomas K. Brown is the managing member of Second Curve Capital, LLC. Each such Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
SECOND CURVE CAPITAL, LLC, By: /s/ Thomas K. Brown
2014-04-03
/s/ Thomas K. Brown
2014-04-03