Home > Insider Trading > Filing (0001140361-16-083531)

Filing Details

Accession Number:: 0001140361-16-083531
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-10-25 16:36:26
Reporting Period:: 2016-10-21

Filing Date:: 2016-10-25
Accepted Time:: 2016-10-25 16:36:26
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1373561	Newstar Financial Inc.	NEWS	()	NY

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1008262	E Bradley Cooper	142 West 57Th Street New York NY 10019	No	No	No	No
1075558	Ltd Partners Z Capital	142 West 57Th Street New York NY 10019	No	No	No	No
1075560	Capital Z Partners Lp	142 West 57Th Street New York NY 10019	No	No	No	No
1075567	Capital Z Financial Services Fund Ii Lp	142 West 57Th Street New York NY 10019	No	No	No	No
1308745	Capital Z Financial Services Private Fund Ii, L.p.	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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2016-10-21	1,989,402	$8.93	3,528,286	No	4	S	Indirect	See footnote
Common Stock	Disposition	2016-10-21	10,598	$8.93	18,805	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote

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
Common Stock	29,919	Indirect	See footnote

Footnotes

Disposition transactions made pursuant to a privately-negotiated repurchase agreement, which transactions are scheduled to close on or before October 28, 2016.
Represents securities held directly by Capital Z Financial Services Fund II, L.P. ("Capital Z Fund").
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.
Represents securities held directly by Capital Z Private Fund.
Represents securities held directly by 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.
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.