SEC Form 4 · accession 0000908662-17-000111
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley E Cooper
Director
Period of report
May 16, 2017
Accepted (ET)
May 18, 2017 · 4:13 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 StockF1 | May 16, 2017 | A | 7,731 | $0.00 | A | 40,368 | D | |
| Common StockF2 | holding | — | — | — | 4,000,000 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 40,244 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities reported are shares of restricted stock which will vest in full on the one year anniversary of the grant date.
- F2Represents 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") and Capital Z Partners Management, LLC ("CZPM") performs investment management services for Capital Z III Fund. Bradley E. Cooper is a limited partner of Capital Z III GP LP, which may be deemed to be the beneficial owner of the securities held by Capital Z III Fund. Mr. Cooper, Capital Z III GP LP and CZPM disclaim beneficial ownership of securities beneficially owned by Capital Z III Fund, except to the extent of any pecuniary interest therein.
- F3Represents securities held directly by CZPM. Bradley E. Cooper is an officer and co-owner of CZPM. Mr. Cooper disclaims beneficial ownership of securities beneficially owned by CZPM, except to the extent of any pecuniary interest therein.