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4//SEC Filing

NewStar Financial, Inc. 4

Accession 0001567619-16-003192

CIK 0001373561operating
View on SEC.govCompany Profile

Filed

Nov 8, 7:00 PM ET

Accepted

Nov 9, 4:02 PM ET

Size

24.1 KB

Accession

0001567619-16-003192

Insider Transaction Report

Form 4
Period: 2016-11-08
NewStar Financial, Inc.NEWS
Capital Z Partners III GP, L.P.
Other
Transactions
  • Other

    Common Stock

    2016-11-08+15,964→ 45,883 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−18,805→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−3,528,286→ 0 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000
COOPER BRADLEY E
Director
Transactions
  • Other

    Common Stock

    2016-11-08−3,528,286→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−18,805→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08+15,964→ 45,883 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    4,000,000

  • Common Stock

    (indirect: See footnote)
    28,970
CAPITAL Z PARTNERS LP
Other
Transactions
  • Other

    Common Stock

    2016-11-08−18,805→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08+15,964→ 45,883 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−3,528,286→ 0 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

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

    Common Stock

    2016-11-08−18,805→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−3,528,286→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08+15,964→ 45,883 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

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

    Common Stock

    2016-11-08−18,805→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08+15,964→ 45,883 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−3,528,286→ 0 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000
Capital Z Partners III GP, Ltd.
Other
Transactions
  • Other

    Common Stock

    2016-11-08−3,528,286→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−18,805→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08+15,964→ 45,883 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000
Capital Z Partners Management, LLC
10% Owner
Transactions
  • Other

    Common Stock

    2016-11-08−18,805→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−3,528,286→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08+15,964→ 45,883 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000
CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P.
Other
Transactions
  • Other

    Common Stock

    2016-11-08−18,805→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−3,528,286→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08+15,964→ 45,883 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    4,000,000

  • Common Stock

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

    Common Stock

    2016-11-08+15,964→ 45,883 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−3,528,286→ 0 total(indirect: See footnote)
  • Other

    Common Stock

    2016-11-08−18,805→ 0 total(indirect: See footnote)
Holdings

  • Common Stock

    (indirect: See footnote)
    28,970

  • Common Stock

    (indirect: See footnote)
    4,000,000
Footnotes (8)
  • [F1]Pro 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").
  • [F2]Disposition transactions made pursuant to a privately-negotiated repurchase agreement, which transactions are scheduled to close on or before October 28, 2016.
  • [F3]Represents securities held directly by Capital Z Fund.
  • [F4]The 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.
  • [F5]Represents securities held directly by Capital Z Private Fund.
  • [F6]Represents securities held directly by CZPM.
  • [F7]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.
  • [F8]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
Nov 8, 7:00 PM ET
Accepted
Nov 9, 4:02 PM ET
Size
24.1 KB
View on SEC.gov