-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CoGhUzHLmQgtohkJbqKgbwkErFZ2OB6k+L3UrJmQGwApfpAJA6JwPQzi58YdCI3d xG2G4P/P5z6uK19ttiosYg== 0000912057-00-004381.txt : 20000209 0000912057-00-004381.hdr.sgml : 20000209 ACCESSION NUMBER: 0000912057-00-004381 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000208 GROUP MEMBERS: FULCRUM GROWTH PARTNERS LLC GROUP MEMBERS: MCCARTHY GROUP, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NOVASTAR FINANCIAL INC CENTRAL INDEX KEY: 0001025953 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 742830661 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-52325 FILM NUMBER: 526173 BUSINESS ADDRESS: STREET 1: 1901 W 47TH PLACE STREET 2: STE 105 CITY: WESTWOOD STATE: KS ZIP: 66205 BUSINESS PHONE: 9133621090 MAIL ADDRESS: STREET 1: 1901 WEST 47TH PLACE CITY: WESTWOOD STATE: KS ZIP: 66205 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FULCRUM GROWTH PARTNERS LLC CENTRAL INDEX KEY: 0001083437 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 470697955 STATE OF INCORPORATION: NE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1125 SOUTH 103RD STREET STREET 2: #450 CITY: OMAHA STATE: NE ZIP: 68124 BUSINESS PHONE: 4023931300 MAIL ADDRESS: STREET 1: 1125 SOUTH 103RD STREET STREET 2: #450 CITY: OMAHA STATE: NE ZIP: 68124 SC 13G/A 1 SCHEDULE 13-G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) NOVASTAR FINANCIAL, INC. ................................................................................ (NAME OF ISSUER) COMMON STOCK AND CLASS B PREFERRED STOCK CONVERTIBLE INTO COMMON STOCK ................................................................................ (TITLE OF CLASS OF SECURITIES) 669947608 CLASS B PREFERRED STOCK 669947400 COMMON STOCK . . . . . . . . . . . . . . . . . . . . . . . . (CUSIP NUMBER) DECEMBER 31, 1999 . . . . . . . . . . . . . . . . . . . . . . . . (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) Page 1 of 6 669947608 Class B Preferred Stock 669947400 Common Stock CUSIP NO. ...................................................................... 1 Name of Reporting Persons. I.R.S. Identification No. of above person (entities only). Fulcrum Growth Partners, LLC ("Fulcrum") 47-0819413 ................................................................................ 2 Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] ................................................................................ 3 SEC Use Only ................................................................................ 4 Citizenship or Place of Organization Delaware ................................................................................ 5 Sole Voting Power 1,484,925 Number of ..................................................... Shares 6 Shared Voting Power Beneficially Owned by Each ..................................................... Reporting 7 Sole Dispositive Power Person With 1,484,925 ..................................................... 8 Shared Dispositive Power -0- ................................................................................ 9 Aggregate Amount Beneficially Owned by Each Reporting Person 1,484,925 ................................................................................ 10 Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] ................................................................................ 11 Percent of Class Represented by Amount in Row (11) 17.9% ................................................................................ 12 Type of Reporting Person PN Page 2 of 6 CUSIP NO. 669947608 Class B Preferred Stock 669947400 Common Stock ................................................................................ 1 Name of Reporting Persons. I.R.S. Identification No. of above person (entities only). McCarthy Group, Inc. ("MGI") 47-0697955 ................................................................................ 2 Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] ................................................................................ 3 SEC Use Only ................................................................................ 4 Citizenship or Place of Organization Nebraska ................................................................................ 5 Sole Voting Power 1,597,885 Number of ............................................ Shares 6 Shared Voting Power Beneficially Owned by -0- Each ....................................... Reporting 7 Sole Dispositive Power Person With 1,597,885 ............................................ 8 Shared Dispositive Power -0- ................................................................................ 9 Aggregate Amount Beneficially Owned by Each Reporting Person 1,597,885 ................................................................................ 10 Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] ................................................................................ 11 Percent of Class Represented by Amount in Row (11) 19.3% ................................................................................ 12 Type of Reporting Person CO ................................................................................ Page 3 of 6 Item 1. a. Name of Issuer: NovaStar Financial, Inc. (the "Issuer") b. Address of Issuer's Principal Executive Offices: 1900 West 47th Place, Suite 105 Westwood, Kansas 66205 Item 2.
a. Name of Person Filing: Fulcrum Growth Partners, LLC ("Fulcrum") McCarthy Group, Inc., ("MGI") b. Address of Principal Executive Office: Fulcrum Growth Partners, LLC McCarthy Group, Inc. 1125 So. 103rd Street, Suite 450 1125 So. 103rd Street, Suite 450 Omaha, Nebraska 68124 Omaha, NE 68124 c. Citizenship: Fulcrum: MGI: State of Delaware State of Nebraska d. Title of Class of Securities: Class B Preferred Stock, par value $0.01 convertible into Common Stock, par value $0.01; Common Stock, par value $0.01 e. CUSIP Number: Class B Preferred Stock - 669947608 Common Stock - 669947400
Item 3. If this statement is filed pursuant to sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a(n): a. [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); b. [ ] Bank is defined in section 3(a)(6) of the Act (15 U.S.C. 78c); c. [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); d. [ ] Investment company registered under section 8 of the Investment Company Act (15 U.S.C. 80a-8); e. [ ] Investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E); f. [ ] Employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F); Page 4 of 6 g. [ ] Parent holding company or control person in accordance with section 240.13d-1(b)(ii)(G); h. [ ] Savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); i. [ ] Church plan is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); j. [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J) If this statement is filed pursuant to Section 240.13d-1(c), check this box [X] Item 4. Ownership a. Amount Beneficially Owned: Fulcrum: 1,484,925 (714,285 shares of Class B Preferred Stock, par value $0.01, which are convertible into Common Stock on a one for one basis, plus 770,640 shares of Common Stock). MGI: 1,597,885 (MGI is Managing Member of Fulcrum and thus is deemed to beneficially own the shares of Common Stock which are beneficially owned by Fulcrum. MGI is also the parent company of McCarthy Group Asset Management, Inc., which has discretionary authority over 112,960 shares of Common Stock owned by its asset management customers.) b. Percent of Class: Fulcrum: 17.9% MGI: 19.3% c. Number of shares as to which such person has: i. Sole power to vote or to direct the vote: See response to Item 4a. above. ii. Shared power to vote or to direct the vote: None. iii. Sole power to dispose or to direct the disposition of: See response to Item 4a. above. iv. Shared power to direct the disposition of: None. Page 5 of 6 Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company N/A Item 8. Identification and Classification of Members of the Group N/A Item 9. Notice of Dissolution of Group N/A Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: 1/31/00 FULCRUM GROWTH PARTNERS, LLC ----------------- By: McCarthy Group, Inc., Managing Member By: /s/ Richard L. Jarvis ---------------------------------- Name: Richard L. Jarvis Title: Secretary/Treasurer McCARTHY GROUP, INC. By: /s/ Richard L. Jarvis ---------------------------------- Name: Richard L. Jarvis Title: Secretary/Treasurer Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----