SEC Form 4 · accession 0001140361-15-026076
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 · Other
CAPITAL Z PARTNERS LP
10% Owner
Capital Z Partners Management, LLC
10% Owner
Period of report
Jun 29, 2015
Accepted (ET)
Jun 30, 2015 · 5:28 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 StockF4,F2,F3 | Jun 29, 2015 | J | 7,002 | — | A | 5,572,168 | I | See notes |
| Common StockF4,F5 | Jun 29, 2015 | J | 7,002 | — | D | 29,919 | D | |
| Common StockF1,F3 | holding | — | — | — | 4,000,000 | I | See notes |
Table II — derivative securities
No Table II lines on this filing.
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.
- F5See Footnote 5 in Exhibit 99.1.
Remarks
See Exhibit 99.1 - Footnotes and Joint Filer Information incorporated herein by reference.