SEC Form 4 · accession 0001140361-16-090328
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Bradley E Cooper
Director
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
Dec 16, 2016
Accepted (ET)
Dec 20, 2016 · 11:49 am 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 StockF3,F4 | Dec 16, 2016 | S | 7,216 | $9.21 | D | 38,667 | D | |
| Common StockF3,F4 | Dec 19, 2016 | S | 6,030 | $9.17 | D | 32,637 | D | |
| Common StockF1 | holding | — | — | — | 28,970 | I | See footnote | |
| Common StockF2 | 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 Management, LLC ("CZPM").
- 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"), 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.
- F3The prices reported in Column 4 of Table I are weighted average prices. These shares were sold in multiple transactions at prices ranging from $9.08 to $9.6075 on December 16, 2016 and from $9.00 to $9.29 on December 19, 2016. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the United States Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F4Represents securities held directly 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.