SEC Form 4/A · accession 0001567619-16-003194
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
Bradley E Cooper
Director · 10% Owner
CAPITAL Z PARTNERS LTD
10% Owner
CAPITAL Z PARTNERS LP
10% Owner
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
Nov 8, 2016
Accepted (ET)
Nov 9, 2016 · 4:57 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 StockF1,F2,F3 | Nov 8, 2016 | J | 3,528,286 | $0.00 | D | 0 | I | See footnote |
| Common StockF1,F3,F4 | Nov 8, 2016 | J | 18,805 | $0.00 | D | 0 | I | See footnote |
| Common StockF1,F7 | Nov 8, 2016 | J | 15,964 | $0.00 | A | 45,883 | I | See footnote |
| Common StockF3,F4,F5 | holding | — | — | — | 28,970 | I | See footnote | |
| Common StockF6 | holding | — | — | — | 4,000,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pro rata distributions, without consideration, from Capital Z Financial Services Fund II, L.P. ("Capital Z Fund") and Capital Z Financial Services Private Fund II, L.P. ("Capital Z Private Fund").
- F2Represents securities held directly by Capital Z Fund.
- F3The sole general partner of Capital Z Fund and Capital Z Private Fund is Capital Z Partners, L.P. ("Capital Z GP LP"), whose sole general partner is Capital Z Partners, Ltd. ("Capital Z GP LTD"). Capital Z Partners Management, LLC ("CZPM") performs investment management services for Capital Z Fund and Capital Z Private Fund. By reason of the provisions of Rule 16a-1 of the Exchange Act, Capital Z GP LP, Capital Z GP LTD and CZPM may be deemed to be the beneficial owners of the securities held by Capital Z Fund and Capital Z Private 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.
- F4Represents securities held directly by Capital Z Private Fund.
- F5Represents securities held directly by CZPM.
- F6Represents 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.
- F7Directly owned by Bradley E. Cooper. Bradley E. Cooper is a limited partner of both Capital Z III GP LP and Capital Z 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.