SEC Form 4 · accession 0000908662-17-000095
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.
Director · 10% Owner
Capital Z Partners III, L.P.
10% Owner
Capital Z Partners Management, LLC
10% Owner
Period of report
Apr 24, 2017
Accepted (ET)
Apr 26, 2017 · 4:29 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 StockF3 | Apr 24, 2017 | M | 5,000 | $8.28 | A | 44,064 | I | See Footnote |
| Common StockF3 | Apr 24, 2017 | F | 3,820 | $10.84 | D | 40,244 | I | See Footnote |
| Common StockF1 | holding | — | — | — | 4,000,000 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 32,637 | I | See Footnote |
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)F3,F4 | $8.28 | Apr 24, 2017 | M | 5,000 | D | — | May 12, 2017 | Common Stock | 5,000 | 0 | I |
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.
- F2Directly 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.
- F3Represents securities held directly by CZPM.
- F4Fully vested.