organization · Reporting owner

Capital Z Partners III GP, L.P.

Disclosed activity across 2 companies

Tapewire entity: 175254
SEC CIK: 0001419136

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Reported relationships

Latest disclosed role at each company.

No relationships currently tracked through insider filings.

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

No balances currently tracked through insider filings.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

CENTRUE FINANCIAL CORP

Report date June 09, 2017 · Filed June 13, 2017

Jointly reported with COOPER BRADLEY E, Capital Z Partners III GP, Ltd.

Section 16 reporting ended · disclosed 2017-06-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2017-06-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-06-09 · Disposition to issuer · Disposed 1,533,333 · Balance 0 F3: Disposed of pursuant to the Agreement and Plan of Merger, dated January 26, 2017, by and among Midland States Bancorp, Inc., Sentinel Acquisition, LLC, and the Company, and will be converted to the right to receive the per share value as set forth in the merger agreement. F1: Directly owned by Capital Z Partners Centrue AIV, L.P. ("Capital Z Centrue"). Capital Z Partners III GP, L.P. ("Capital Z III GP LP") is the general partner of Capital Z Centrue. Capital Z Partners III GP, Ltd. ("Capital Z III GP LTD") is the general partner of Capital Z III GP LP and the ultimate general partner of Capital Z Centrue. Each of Capital Z III GP LP, Capital Z III GP LTD and Capital Z Centrue disclaims beneficial ownership of securities held by any other entity except to the extent of any indirect pecuniary interest (within the meaning of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the securities beneficially owned by such other entity. F2: Bradley E. Cooper, a director of the Issuer, is a limited partner of Capital Z III GP LP and is an officer and director of Capital Z III GP LTD. Mr. Cooper disclaims beneficial ownership of such securities except to any indirect pecuniary interest in an indeterminate portion of the securities beneficial owned by such other entities.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2017-06-09	Direct	0	Reported balance After 2017-06-09 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-06-09 · Disposition to issuer · Disposed 598.0861 · Balance 0 F4: Each Restricted Stock Unit was vested in connection with the Agreement and Plan of Merger, dated January 26, 2017, by and among Midland States Bancorp, Inc., Sentinel Acquisition, LLC, and the Company, and will be converted to the right to receive the Per Share Value as set forth in the merger agreement.

Filing footnotes · ownership attribution and instrument terms

F1: Directly owned by Capital Z Partners Centrue AIV, L.P. ("Capital Z Centrue"). Capital Z Partners III GP, L.P. ("Capital Z III GP LP") is the general partner of Capital Z Centrue. Capital Z Partners III GP, Ltd. ("Capital Z III GP LTD") is the general partner of Capital Z III GP LP and the ultimate general partner of Capital Z Centrue. Each of Capital Z III GP LP, Capital Z III GP LTD and Capital Z Centrue disclaims beneficial ownership of securities held by any other entity except to the extent of any indirect pecuniary interest (within the meaning of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the securities beneficially owned by such other entity.

F2: Bradley E. Cooper, a director of the Issuer, is a limited partner of Capital Z III GP LP and is an officer and director of Capital Z III GP LTD. Mr. Cooper disclaims beneficial ownership of such securities except to any indirect pecuniary interest in an indeterminate portion of the securities beneficial owned by such other entities.

F3: Disposed of pursuant to the Agreement and Plan of Merger, dated January 26, 2017, by and among Midland States Bancorp, Inc., Sentinel Acquisition, LLC, and the Company, and will be converted to the right to receive the per share value as set forth in the merger agreement.

F4: Each Restricted Stock Unit was vested in connection with the Agreement and Plan of Merger, dated January 26, 2017, by and among Midland States Bancorp, Inc., Sentinel Acquisition, LLC, and the Company, and will be converted to the right to receive the Per Share Value as set forth in the merger agreement.

NewStar Financial, Inc.

Report date April 24, 2017 · Filed April 26, 2017

Jointly reported with Capital Z Partners III GP, Ltd., Capital Z Partners Management, LLC, Capital Z Partners III, L.P., COOPER BRADLEY E

Section 16 reporting ended · disclosed 2016-11-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	44,064	Reported balance After 2017-04-24 transaction · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · 2017-04-24 · Exercise / conversion · Acquired 5,000 · Balance 44,064 F3: Represents securities held directly by CZPM.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	40,244	Reported balance After 2017-04-24 transaction · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · 2017-04-24 · Tax withholding · Disposed 3,820 · Balance 40,244 F3: Represents securities held directly by CZPM.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	4,000,000	Reported balance Holding disclosure · report date 2017-04-24 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 4,000,000 F1: 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.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	32,637	Reported balance Holding disclosure · report date 2017-04-24 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 32,637 F2: Directly owned 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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.28 · Expires 2017-05-12	IndirectSee Footnote	0	Reported balance After 2017-04-24 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2017-04-24 · Exercise / conversion · Disposed 5,000 · Balance 0 F4: Fully vested. F3: Represents securities held directly by CZPM.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

F2: Directly owned 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.

F3: Represents securities held directly by CZPM.

F4: Fully vested.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 09, 2017 Filed Jun 13, 2017 22:22 UTC	CENTRUE FINANCIAL CORP CFCB · Entity 175253	Disposition to issuerRestricted Stock Units · Derivative	598.0861	Not disclosed Strike: $0.00	Not disclosed	Disclosure SEC source: 0001104659-17-039005 · a4.xml · derivative · entry 2 COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 598.0861 shares Expires 2017-06-09 F4 · price: Each Restricted Stock Unit was vested in connection with the Agreement and Plan of Merger, dated January 26, 2017, by and among Midland States Bancorp, Inc., Sentinel Acquisition, LLC, and the Company, and will be converted to the right to receive the Per Share Value as set forth in the merger agreement. F4 · derivative.exercise_date: Each Restricted Stock Unit was vested in connection with the Agreement and Plan of Merger, dated January 26, 2017, by and among Midland States Bancorp, Inc., Sentinel Acquisition, LLC, and the Company, and will be converted to the right to receive the Per Share Value as set forth in the merger agreement. Read SEC document
June 09, 2017 Filed Jun 13, 2017 22:22 UTC	CENTRUE FINANCIAL CORP CFCB · Entity 175253	Disposition to issuerCommon Stock	1,533,333	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-17-039005 · a4.xml · nonDerivative · entry 1 COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F3 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated January 26, 2017, by and among Midland States Bancorp, Inc., Sentinel Acquisition, LLC, and the Company, and will be converted to the right to receive the per share value as set forth in the merger agreement. F1 · ownership.nature: Directly owned by Capital Z Partners Centrue AIV, L.P. ("Capital Z Centrue"). Capital Z Partners III GP, L.P. ("Capital Z III GP LP") is the general partner of Capital Z Centrue. Capital Z Partners III GP, Ltd. ("Capital Z III GP LTD") is the general partner of Capital Z III GP LP and the ultimate general partner of Capital Z Centrue. Each of Capital Z III GP LP, Capital Z III GP LTD and Capital Z Centrue disclaims beneficial ownership of securities held by any other entity except to the extent of any indirect pecuniary interest (within the meaning of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the securities beneficially owned by such other entity. F2 · ownership.nature: Bradley E. Cooper, a director of the Issuer, is a limited partner of Capital Z III GP LP and is an officer and director of Capital Z III GP LTD. Mr. Cooper disclaims beneficial ownership of such securities except to any indirect pecuniary interest in an indeterminate portion of the securities beneficial owned by such other entities. Read SEC document
April 24, 2017 Filed Apr 26, 2017 20:29 UTC	NewStar Financial, Inc. NEWS · Entity 170916	Exercise / conversionStock Option (Right to Buy) · Derivative	5,000	$0.00 Strike: $8.28	$0.00	Disclosure SEC source: 0000908662-17-000095 · edgar.xml · derivative · entry 5 Capital Z Partners III GP, Ltd. · CIK 0001419137 · Director · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2017-05-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Fully vested. F3 · ownership.nature: Represents securities held directly by CZPM. Read SEC document
April 24, 2017 Filed Apr 26, 2017 20:29 UTC	NewStar Financial, Inc. NEWS · Entity 170916	Tax withholdingCommon Stock	3,820	$10.84	$41,408.80	Disclosure SEC source: 0000908662-17-000095 · edgar.xml · nonDerivative · entry 4 Capital Z Partners III GP, Ltd. · CIK 0001419137 · Director · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 40,244 F3 · ownership.direct: Represents securities held directly by CZPM. F3 · ownership.nature: Represents securities held directly by CZPM. Read SEC document
April 24, 2017 Filed Apr 26, 2017 20:29 UTC	NewStar Financial, Inc. NEWS · Entity 170916	Exercise / conversionCommon Stock	5,000	$8.28	$41,400.00	Disclosure SEC source: 0000908662-17-000095 · edgar.xml · nonDerivative · entry 3 Capital Z Partners III GP, Ltd. · CIK 0001419137 · Director · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 44,064 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · ownership.direct: Represents securities held directly by CZPM. F3 · ownership.nature: Represents securities held directly by CZPM. Read SEC document
April 04, 2017 Filed Apr 6, 2017 20:10 UTC	NewStar Financial, Inc. NEWS · Entity 170916	OtherCommon Stock	10,094	Not disclosed	Not disclosed	Disclosure SEC source: 0000908662-17-000091 · edgar.xml · nonDerivative · entry 3 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 39,064 F2 · kind: Mr. Cooper transferred the shares to CZPM for no consideration. F2 · price: Mr. Cooper transferred the shares to CZPM for no consideration. F4 · ownership.direct: Represents securities held directly by CZPM. F4 · ownership.nature: Represents securities held directly by CZPM. Read SEC document
April 04, 2017 Filed Apr 6, 2017 20:10 UTC	NewStar Financial, Inc. NEWS · Entity 170916	OtherCommon Stock	10,094	Not disclosed	Not disclosed	Disclosure SEC source: 0000908662-17-000091 · edgar.xml · nonDerivative · entry 2 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 32,637 F2 · kind: Mr. Cooper transferred the shares to CZPM for no consideration. F2 · price: Mr. Cooper transferred the shares to CZPM for no consideration. F3 · ownership.direct: Directly owned 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. F3 · ownership.nature: Directly owned 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. Read SEC document
December 19, 2016 Filed Dec 20, 2016 16:49 UTC	NewStar Financial, Inc. NEWS · Entity 170916	SaleCommon Stock	6,030	$9.17	$55,295.10	Disclosure SEC source: 0001140361-16-090328 · form4.xml · nonDerivative · entry 4 COOPER BRADLEY E · CIK 0001008262 · Director Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,637 F3 · price: 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. F4 · balance_after: 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. Read SEC document
December 16, 2016 Filed Dec 20, 2016 16:49 UTC	NewStar Financial, Inc. NEWS · Entity 170916	SaleCommon Stock	7,216	$9.21	$66,459.36	Disclosure SEC source: 0001140361-16-090328 · form4.xml · nonDerivative · entry 3 COOPER BRADLEY E · CIK 0001008262 · Director Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,667 F3 · price: 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. F4 · balance_after: 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. Read SEC document
November 08, 2016 Filed Nov 9, 2016 21:57 UTC Amendment	NewStar Financial, Inc. NEWS · Entity 170916	OtherCommon Stock	15,964	$0.00	$0.00	Disclosure SEC source: 0001567619-16-003194 · form4.xml · nonDerivative · entry 5 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. · CIK 0001308745 · 10% owner CAPITAL Z FINANCIAL SERVICES FUND II LP · CIK 0001075567 · 10% owner CAPITAL Z PARTNERS LP · CIK 0001075560 · 10% owner CAPITAL Z PARTNERS LTD · CIK 0001075558 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 45,883 F1 · kind: 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"). F1 · price: 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"). F7 · ownership.nature: 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. Read SEC document
November 08, 2016 Filed Nov 9, 2016 21:57 UTC Amendment	NewStar Financial, Inc. NEWS · Entity 170916	OtherCommon Stock	18,805	$0.00	$0.00	Disclosure SEC source: 0001567619-16-003194 · form4.xml · nonDerivative · entry 2 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. · CIK 0001308745 · 10% owner CAPITAL Z FINANCIAL SERVICES FUND II LP · CIK 0001075567 · 10% owner CAPITAL Z PARTNERS LP · CIK 0001075560 · 10% owner CAPITAL Z PARTNERS LTD · CIK 0001075558 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: 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"). F1 · price: 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"). F3 · ownership.nature: 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. F4 · ownership.nature: Represents securities held directly by Capital Z Private Fund. Read SEC document
November 08, 2016 Filed Nov 9, 2016 21:57 UTC Amendment	NewStar Financial, Inc. NEWS · Entity 170916	OtherCommon Stock	3,528,286	$0.00	$0.00	Disclosure SEC source: 0001567619-16-003194 · form4.xml · nonDerivative · entry 1 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. · CIK 0001308745 · 10% owner CAPITAL Z FINANCIAL SERVICES FUND II LP · CIK 0001075567 · 10% owner CAPITAL Z PARTNERS LP · CIK 0001075560 · 10% owner CAPITAL Z PARTNERS LTD · CIK 0001075558 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: 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"). F1 · price: 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 · ownership.nature: Represents securities held directly by Capital Z Fund. F3 · ownership.nature: 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. Read SEC document
November 08, 2016 Filed Nov 9, 2016 21:02 UTC	NewStar Financial, Inc. NEWS · Entity 170916	OtherCommon Stock	15,964	$0.00	$0.00	Disclosure SEC source: 0001567619-16-003192 · form4.xml · nonDerivative · entry 5 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. · CIK 0001308745 · 10% owner CAPITAL Z FINANCIAL SERVICES FUND II LP · CIK 0001075567 · 10% owner CAPITAL Z PARTNERS LP · CIK 0001075560 · 10% owner CAPITAL Z PARTNERS LTD · CIK 0001075558 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 45,883 F1 · kind: 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"). F1 · price: 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"). F8 · ownership.nature: 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. Read SEC document
November 08, 2016 Filed Nov 9, 2016 21:02 UTC	NewStar Financial, Inc. NEWS · Entity 170916	OtherCommon Stock	18,805	$0.00	$0.00	Disclosure SEC source: 0001567619-16-003192 · form4.xml · nonDerivative · entry 2 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. · CIK 0001308745 · 10% owner CAPITAL Z FINANCIAL SERVICES FUND II LP · CIK 0001075567 · 10% owner CAPITAL Z PARTNERS LP · CIK 0001075560 · 10% owner CAPITAL Z PARTNERS LTD · CIK 0001075558 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: 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"). F1 · price: 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 · ownership.nature: Disposition transactions made pursuant to a privately-negotiated repurchase agreement, which transactions are scheduled to close on or before October 28, 2016. F4 · ownership.nature: 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 · ownership.nature: Represents securities held directly by Capital Z Private Fund. Read SEC document
November 08, 2016 Filed Nov 9, 2016 21:02 UTC	NewStar Financial, Inc. NEWS · Entity 170916	OtherCommon Stock	3,528,286	$0.00	$0.00	Disclosure SEC source: 0001567619-16-003192 · form4.xml · nonDerivative · entry 1 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. · CIK 0001308745 · 10% owner CAPITAL Z FINANCIAL SERVICES FUND II LP · CIK 0001075567 · 10% owner CAPITAL Z PARTNERS LP · CIK 0001075560 · 10% owner CAPITAL Z PARTNERS LTD · CIK 0001075558 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: 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"). F1 · price: 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 · ownership.nature: Disposition transactions made pursuant to a privately-negotiated repurchase agreement, which transactions are scheduled to close on or before October 28, 2016. F3 · ownership.nature: Represents securities held directly by Capital Z Fund. F4 · ownership.nature: 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. Read SEC document
October 21, 2016 Filed Oct 25, 2016 20:36 UTC	NewStar Financial, Inc. NEWS · Entity 170916	SaleCommon Stock	10,598	$8.93	$94,640.14	Disclosure SEC source: 0001140361-16-083531 · form4.xml · nonDerivative · entry 2 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. · CIK 0001308745 · 10% owner CAPITAL Z FINANCIAL SERVICES FUND II LP · CIK 0001075567 · 10% owner CAPITAL Z PARTNERS LP · CIK 0001075560 · 10% owner CAPITAL Z PARTNERS LTD · CIK 0001075558 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 18,805 F1 · ownership.nature: Disposition transactions made pursuant to a privately-negotiated repurchase agreement, which transactions are scheduled to close on or before October 28, 2016. F3 · ownership.nature: 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 · ownership.nature: Represents securities held directly by Capital Z Private Fund. Read SEC document
October 21, 2016 Filed Oct 25, 2016 20:36 UTC	NewStar Financial, Inc. NEWS · Entity 170916	SaleCommon Stock	1,989,402	$8.93	$17,765,359.86	Disclosure SEC source: 0001140361-16-083531 · form4.xml · nonDerivative · entry 1 Capital Z Partners III GP, Ltd. · CIK 0001419137 · 10% owner Capital Z Partners Management, LLC · CIK 0001455704 · 10% owner Capital Z Partners III, L.P. · CIK 0001419144 · 10% owner CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. · CIK 0001308745 · 10% owner CAPITAL Z FINANCIAL SERVICES FUND II LP · CIK 0001075567 · 10% owner CAPITAL Z PARTNERS LP · CIK 0001075560 · 10% owner CAPITAL Z PARTNERS LTD · CIK 0001075558 · 10% owner COOPER BRADLEY E · CIK 0001008262 · Director · 10% owner Capital Z Partners III GP, L.P. · CIK 0001419136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,528,286 F1 · ownership.nature: Disposition transactions made pursuant to a privately-negotiated repurchase agreement, which transactions are scheduled to close on or before October 28, 2016. F2 · ownership.nature: Represents securities held directly by Capital Z Financial Services Fund II, L.P. ("Capital Z Fund"). F3 · ownership.nature: 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. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.