SEC Form 4 · accession 0000908662-16-000519
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Bradley E Cooper
Director · 10% Owner
CAPITAL Z PARTNERS LTD
10% Owner
CAPITAL Z PARTNERS LP
10% Owner
Capital Z Partners III GP, L.P.
10% Owner
Capital Z Partners III GP, Ltd.
10% Owner
Capital Z Partners III, L.P.
10% Owner
Capital Z Partners Management, LLC
10% Owner
Period of report
Apr 26, 2016
Accepted (ET)
Apr 28, 2016 · 3:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001373561
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Apr 26, 2016 | X | 5,000 | $2.20 | A | 5,577,168 | I | See Footnotes |
| Common StockF2,F3 | Apr 26, 2016 | F | 1,107 | $9.94 | D | 5,576,061 | I | See Footnotes |
| Common StockF1,F3 | holding | — | — | — | 4,000,000 | I | See Footnotes | |
| Common StockF4 | holding | — | — | — | 29,919 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F3,F5 | $2.20 | Apr 26, 2016 | X | 5,000 | D | — | May 13, 2016 | Common Stock | 5,000 | 0 | I |
Explanation of responses
- F1See Footnote 1 in Exhibit 99.1.
- F2See Footnote 2 in Exhibit 99.1.
- F3See Footnote 3 in Exhibit 99.1.
- F4See Footnote 4 in Exhibit 99.1.
- F5The options became fully vested and exercisable as of May 13, 2012.
Remarks
See Exhibit 99.1 - Footnotes incorporated herein by reference. Capital Z Partners III GP, Ltd. is the designated filer for all the reporting persons on this Form 4.