-----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, DC8zgY56P8YPsB8ja7nT3tkj0xK3hYXDZX/JYnM1aP4+yA/66bccDCF46cs2H+qX 9C5GSx60wlsZlEk37dlSfg== 0000947871-10-000115.txt : 20100216 0000947871-10-000115.hdr.sgml : 20100215 20100216145355 ACCESSION NUMBER: 0000947871-10-000115 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 GROUP MEMBERS: LEE S. AINSLIE III GROUP MEMBERS: MAVERICK CAPITAL MANAGEMENT, LLC GROUP MEMBERS: MAVERICK CAPITAL, LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NewStar Financial, Inc. CENTRAL INDEX KEY: 0001373561 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE LESSORS [6172] IRS NUMBER: 542157878 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-82274 FILM NUMBER: 10606651 BUSINESS ADDRESS: STREET 1: 500 BOYLSTON STREET STREET 2: SUITE 1600 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-848-2500 MAIL ADDRESS: STREET 1: 500 BOYLSTON STREET STREET 2: SUITE 1600 CITY: BOSTON STATE: MA ZIP: 02116 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MAVERICK CAPITAL LTD CENTRAL INDEX KEY: 0000934639 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: 18TH FLOOR CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214.880.4050 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: 18TH FLOOR CITY: DALLAS STATE: TX ZIP: 75201 SC 13G/A 1 ss84015_sc13ga-newstar.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No 2) NEWSTAR FINANCIAL, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 65251F105 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2009 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [_] Rule 13d-1(c) [_] Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (the "Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). - ----------------------------- --------------------------- CUSIP No. 65251F105 SCHEDULE 13G/A Page 2 of 10 Pages - ----------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 Name of Reporting Persons Maverick Capital, Ltd. - 75-2482446 - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group (See Instructions) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Texas - -------------------------------------------------------------------------------- | 5 | Sole Voting Power | | 2,779,951 Number of ---------------------------------------------------------------- Shares | 6 | Shared Voting Power Beneficially | | 0 Owned by ---------------------------------------------------------------- Each | 7 | Sole Dispositive Power Reporting | | 2,779,951 Person With ---------------------------------------------------------------- | 8 | Shared Dispositive Power | | 0 - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 2,779,951 - -------------------------------------------------------------------------------- 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_| - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 5.7% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IA - -------------------------------------------------------------------------------- - ----------------------------- --------------------------- CUSIP No. 65251F105 SCHEDULE 13G/A Page 3 of 10 Pages - ----------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 Name of Reporting Persons Maverick Capital Management, LLC - 75-2686461 - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group (See Instructions) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Texas - -------------------------------------------------------------------------------- | 5 | Sole Voting Power | | 2,779,951 Number of ---------------------------------------------------------------- Shares | 6 | Shared Voting Power Beneficially | | 0 Owned by ---------------------------------------------------------------- Each | 7 | Sole Dispositive Power Reporting | | 2,779,951 Person With ---------------------------------------------------------------- | 8 | Shared Dispositive Power | | 0 - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 2,779,951 - -------------------------------------------------------------------------------- 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_| - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 5.7% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) HC - -------------------------------------------------------------------------------- - ----------------------------- --------------------------- CUSIP No. 65251F105 SCHEDULE 13G/A Page 4 of 10 Pages - ----------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 Name of Reporting Persons Lee S. Ainslie III - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group (See Instructions) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- | 5 | Sole Voting Power | | 2,779,951 Number of ---------------------------------------------------------------- Shares | 6 | Shared Voting Power Beneficially | | 0 Owned by ---------------------------------------------------------------- Each | 7 | Sole Dispositive Power Reporting | | 2,779,951 Person With ---------------------------------------------------------------- | 8 | Shared Dispositive Power | | 0 - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 2,779,951 - -------------------------------------------------------------------------------- 10 Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) |_| - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 5.7% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) HC - -------------------------------------------------------------------------------- Item 1(a) Name of Issuer: NewStar Financial, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 500 Boylston Street Suite 1250 Boston, Massachusetts 02116 Item 2(a) Name of Person Filing: This Schedule 13G (the "Schedule 13G") is being filed on behalf of each of the following persons (each, a "Reporting Person"): (i) Maverick Capital, Ltd.; (ii) Maverick Capital Management, LLC; and (iii) Lee S. Ainslie III ("Mr. Ainslie"). The Schedule 13G relates to Shares (as defined herein) held for the accounts of Maverick Capital, Ltd.'s clients. Item 2(b) Address of Principal Business Office or, if none, Residence: The address of the principal business office of (i) Maverick Capital, Ltd. and Maverick Capital Management, LLC is 300 Crescent Court, 18th Floor, Dallas, Texas 75201, and (ii) Mr. Ainslie is 767 Fifth Avenue, 11th Floor, New York, New York 10153. Item 2(c) Citizenship: (i) Maverick Capital, Ltd. is a Texas limited partnership; (ii) Maverick Capital Management, LLC is a Texas limited liability company; and (iii) Mr. Ainslie is a citizen of the United States. Item 2(d) Title of Class of Securities: Common Stock, $0.01 par value (the "Shares"). Item 2(e) CUSIP Number: 65251F105 Page 5 of 10 Pages Item 3 If this statement is filed pursuant to ss.ss. 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [_] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [_] Bank as 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 of 1940 (15 U.S.C. 80a-8). (e) [X] An investment advisor in accordance with ss.240.13d-1(b)(1)(ii)(E). (f) [_] An employee benefit plan or endowment fund in accordance with ss. 240.13d-1(b)(1)(ii)(F). (g) [X] A parent holding company or control person in accordance with ss. 240.13d-1(b)(1)(ii)(G). (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) [_] A church plan that 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) [_] A non-U.S. institution in accordance with ss. 240.13d-1(b)(1)(ii)(J); (k) [_] Group, in accordance with ss. 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with ss. 240.13d-1(b)(1)(ii)(J), please specify the type of institution: _______________ Item 4 Ownership Ownership as of December 31, 2009 is incorporated by reference to items (5) - (9) and (11) of the cover page of the Reporting Person. Maverick Capital, Ltd. is an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and, as such, may be deemed to have beneficial ownership of the Shares which are the subject of this filing through the investment discretion it exercises over its clients' accounts. Maverick Capital Management, LLC is the General Partner of Maverick Capital, Ltd. Mr. Ainslie is the manager of Maverick Capital Management, LLC and is granted sole investment discretion pursuant to Maverick Capital Management, LLC's Regulations. Item 5 Ownership of Five Percent or Less of a Class Not applicable. Page 6 of 10 Pages Item 6 Ownership of More Than Five Percent on Behalf of Another Person. Not applicable. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person Not applicable. Item 8 Identification and Classification of Members of the Group Not applicable. Item 9 Notice of Dissolution of Group Not applicable. Item 10 Certifications By signing below each of the Reporting Persons certifies that, to the best of such person's knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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. Page 7 of 10 Pages 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: February 16, 2010 MAVERICK CAPITAL, LTD. By: Maverick Capital Management, LLC, Its General Partner By: Lee S. Ainslie III, Manager By: /s/ John T. McCafferty ----------------------------- John T. McCafferty Under Power of Attorney dated February 13, 2003 Date: February 16, 2010 MAVERICK CAPITAL MANAGEMENT, LLC By: Lee S. Ainslie III, Manager By: /s/ John T. McCafferty -------------------------------- John T. McCafferty Under Power of Attorney dated February 13, 2003 Date: February 16, 2010 LEE S. AINSLIE III By: /s/ John T. McCafferty -------------------------------------- John T. McCafferty Under Power of Attorney dated February 13, 2003 Page 8 of 10 Pages EXHIBIT INDEX A. Joint Filing Agreement, dated February 14, 2008, by and among Maverick Capital, Ltd., Maverick Capital Management, LLC, and Lee S. Ainslie III. Page 9 of 10 Pages Exhibit A Joint Filing Agreement The undersigned hereby agree that the statement on Schedule 13G with respect to the Common Stock, $0.01 par value of NewStar Financial, Inc., dated as of February 14, 2008, is, and any amendments thereto (including amendments on Schedule 13D) signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934. Date: February 14, 2008 MAVERICK CAPITAL, LTD. By: Maverick Capital Management, LLC Its General Partner By: Lee S. Ainslie III, Manager By: /s/ John T. McCafferty -------------------------------------- John T. McCafferty Under Power of Attorney dated February 13, 2003 MAVERICK CAPITAL MANAGEMENT, LLC By: Lee S. Ainslie III, Manager By: /s/ John T. McCafferty ------------------------------------------ John T. McCafferty Under Power of Attorney dated February 13, 2003 LEE S. AINSLIE III By: /s/ John T. McCafferty ---------------------------------------------- John T. McCafferty Under Power of Attorney dated February 13, 2003 Page 10 of 10 Pages -----END PRIVACY-ENHANCED MESSAGE-----