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NewStar Financial, Inc. 4

Accession 0001140361-16-083531

CIK 0001373561operating
View on SEC.govCompany Profile

Filed

Oct 24, 8:00 PM ET

Accepted

Oct 25, 4:36 PM ET

Size

22.9 KB

Accession

0001140361-16-083531

Insider Transaction Report

Form 4
Period: 2016-10-21
NewStar Financial, Inc.NEWS
CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P.
Other
Transactions
  • Sale

    Common Stock

    2016-10-21$8.93/sh−10,598$94,640→ 18,805 total(indirect: See footnote)
  • Sale

    Common Stock

    2016-10-21$8.93/sh−1,989,402$17,765,360→ 3,528,286 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    29,919

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000
CAPITAL Z PARTNERS LTD
Other
Transactions
  • Sale

    Common Stock

    2016-10-21$8.93/sh−10,598$94,640→ 18,805 total(indirect: See footnote)
  • Sale

    Common Stock

    2016-10-21$8.93/sh−1,989,402$17,765,360→ 3,528,286 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000

  • Common Stock

    (indirect: See footnote)
    29,919
Capital Z Partners III GP, Ltd.
Other
Transactions
  • Sale

    Common Stock

    2016-10-21$8.93/sh−1,989,402$17,765,360→ 3,528,286 total(indirect: See footnote)
  • Sale

    Common Stock

    2016-10-21$8.93/sh−10,598$94,640→ 18,805 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    4,000,000

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    29,919
Capital Z Partners Management, LLC
10% Owner
Transactions
  • Sale

    Common Stock

    2016-10-21$8.93/sh−10,598$94,640→ 18,805 total(indirect: See footnote)
  • Sale

    Common Stock

    2016-10-21$8.93/sh−1,989,402$17,765,360→ 3,528,286 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    29,919

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000
Capital Z Partners III, L.P.
Other
Transactions
  • Sale

    Common Stock

    2016-10-21$8.93/sh−1,989,402$17,765,360→ 3,528,286 total(indirect: See footnote)
  • Sale

    Common Stock

    2016-10-21$8.93/sh−10,598$94,640→ 18,805 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    29,919

  • Common Stock

    (indirect: See footnote)
    4,000,000

  • Common Stock

    (indirect: See footnote)
    28,970
CAPITAL Z FINANCIAL SERVICES FUND II LP
Other
Transactions
  • Sale

    Common Stock

    2016-10-21$8.93/sh−10,598$94,640→ 18,805 total(indirect: See footnote)
  • Sale

    Common Stock

    2016-10-21$8.93/sh−1,989,402$17,765,360→ 3,528,286 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    29,919

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000
CAPITAL Z PARTNERS LP
Other
Transactions
  • Sale

    Common Stock

    2016-10-21$8.93/sh−1,989,402$17,765,360→ 3,528,286 total(indirect: See footnote)
  • Sale

    Common Stock

    2016-10-21$8.93/sh−10,598$94,640→ 18,805 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    4,000,000

  • Common Stock

    (indirect: See footnote)
    29,919

  • Common Stock

    (indirect: See footnote)
    28,970
COOPER BRADLEY E
Director
Transactions
  • Sale

    Common Stock

    2016-10-21$8.93/sh−1,989,402$17,765,360→ 3,528,286 total(indirect: See footnote)
  • Sale

    Common Stock

    2016-10-21$8.93/sh−10,598$94,640→ 18,805 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000

  • Common Stock

    (indirect: See footnote)
    29,919
Capital Z Partners III GP, L.P.
Other
Transactions
  • Sale

    Common Stock

    2016-10-21$8.93/sh−1,989,402$17,765,360→ 3,528,286 total(indirect: See footnote)
  • Sale

    Common Stock

    2016-10-21$8.93/sh−10,598$94,640→ 18,805 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    29,919

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000
Footnotes (7)
  • [F1]Disposition transactions made pursuant to a privately-negotiated repurchase agreement, which transactions are scheduled to close on or before October 28, 2016.
  • [F2]Represents securities held directly by Capital Z Financial Services Fund II, L.P. ("Capital Z Fund").
  • [F3]The sole general partner of Capital Z Fund and Capital Z Financial Services Private Fund II, L.P. ("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.
  • [F4]Represents securities held directly by Capital Z Private Fund.
  • [F5]Represents securities held directly by CZPM.
  • [F6]Represents 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.
  • [F7]Directly 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.

Documents

1 file

Issuer

NewStar Financial, Inc.

CIK 0001373561

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001373561

Filing Metadata

Form type
4
Filed
Oct 24, 8:00 PM ET
Accepted
Oct 25, 4:36 PM ET
Size
22.9 KB
View on SEC.gov