SEC Form 4 · accession 0000908662-17-000091
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 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 4, 2017
Accepted (ET)
Apr 6, 2017 · 4:10 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 4, 2017 | J | 10,094 | — | D | 32,637 | I | See Footnote |
| Common StockF2,F4 | Apr 4, 2017 | J | 10,094 | — | A | 39,064 | I | See Footnote |
| Common StockF1 | holding | — | — | — | 4,000,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 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.
- F2Mr. Cooper transferred the shares to CZPM for no consideration.
- F3Directly owned by Bradley E. Cooper. Bradley E. Cooper is a limited partner of Capital Z III 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.
- F4Represents securities held directly by CZPM.
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.