SEC Form 4 · accession 0000950103-16-017802
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Corsair Capital LLC
10% Owner
Period of report
Nov 8, 2016
Accepted (ET)
Nov 9, 2016 · 4:37 pm EST
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 Stock, par value $0.01 per shareF1,F2,F3 | Nov 8, 2016 | J | 5,538,415 | $0.00 | D | 4,263,075 | I | See Note |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 8, 2016, Corsair II Capital Partners, L.P. (f/k/a J.P. Morgan Corsair II Capital Partners, L.P.) ("Corsair II") transferred 5,538,415 shares held by Corsair II to its limited partners which included 263,075 shares that were transferred to Corsair II, L.P., Corsair II's General Partner, and are no longer beneficially owned by the Reporting Person.
- F2Consists of (a) 3,812,268 shares held directly by Corsair III Financial Services Capital Partners, L.P. ("Corsair III"), (b) 187,732 shares held directly by Corsair III Financial Services Offshore 892 Partners, L.P. ("Corsair III Offshore") Corsair III Management, L.P. is the General Partner of Corsair III and Corsair III Offshore and (c) 263,075 shares held directly by Corsair II, L.P., Corsair II's General Partner. The Reporting Person is the General Partner of Corsair III Management, L.P.
- F3The Reporting Person is filing solely in its capacity as General Partner of Corsair III Management, L.P. and as Manager of Corsair PTJB, LLC. By reason of the provisions of Rule 13d-3(a) of the Securities Exchange Act of 1934, the Reporting Person and Corsair III Management L.P. may be deemed to beneficially own the securities held by Corsair III and Corsair III Offshore, although each of the Reporting Person and Corsair III Management L.P., respectively, disclaims beneficial ownership of such securities except to the extent of their respective pecuniary interests therein.