Filing Details
- Accession Number:
- 0001140361-16-090328
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-20 11:49:40
- Reporting Period:
- 2016-12-16
- Filing Date:
- 2016-12-20
- Accepted Time:
- 2016-12-20 11:49:40
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1373561 | Newstar Financial Inc. | NEWS | () | NY |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1008262 | E Bradley Cooper | 142 West 57Th Street New York NY 10019 | No | No | No | No | |
| 1419136 | Capital Z Partners Iii Gp, L.p. | 142 West 57Th Street New York NY 10019 | No | No | No | No | |
| 1419137 | Capital Z Partners Iii Gp, Ltd. | 142 West 57Th Street New York NY 10019 | No | No | No | No | |
| 1419144 | Capital Z Partners Iii, L.p. | 142 West 57Th Street New York NY 10019 | No | No | No | No | |
| 1455704 | Capital Z Partners Management, Llc | 142 West 57Th Street New York NY 10019 | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2016-12-16 | 7,216 | $9.21 | 38,667 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-12-19 | 6,030 | $9.17 | 32,637 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 28,970 | Indirect | See footnote |
| Common Stock | 4,000,000 | Indirect | See footnote |
Footnotes
- Represents securities held directly by Capital Z Partners Management, LLC ("CZPM").
- 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.
- The 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.
- Represents 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.
Billionaire Hedge Funds
