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