SEC Form 4 · accession 0001140361-17-045802
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley E Cooper
10% Owner
Period of report
Dec 8, 2017
Accepted (ET)
Dec 12, 2017 · 11:19 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 Stock | Dec 8, 2017 | J | 51,528 | $0.00 | A | 91,896 | D | |
| Common StockF1 | Dec 8, 2017 | J | 4,000,000 | $0.00 | D | 0 | I | See footnote |
| Common StockF2 | holding | — | — | — | 40,244 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a pro rata distribution, without consideration, from Capital Z Partners III, L.P. ("Capital Z III Fund") to its partners, including 51,528 received by Bradley E. Cooper. 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. Mr. Cooper is a limited partner of Capital Z III GP LP, which may be deemed to be the beneficial owner of any securities held by Capital Z III Fund.
- F2Represents securities held directly by CZPM. Mr. 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.