-----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, K14yUQxmQuWLWYelzPJGToy+aHT0Wo1VCbYKrlIVEdIirnpMxsK8b1RICJnxzOj6 O+VPrmOdCCAjex2ERlDIFA== 0000950137-07-001533.txt : 20070206 0000950137-07-001533.hdr.sgml : 20070206 20070206112008 ACCESSION NUMBER: 0000950137-07-001533 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070206 DATE AS OF CHANGE: 20070206 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-82274 FILM NUMBER: 07583083 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: NORTHWESTERN MUTUAL LIFE INSURANCE CO CENTRAL INDEX KEY: 0000073076 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 390509570 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 720 E WISCONSIN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4142992508 MAIL ADDRESS: STREET 1: 720 EAST WISCONSIN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 SC 13G 1 c12022sc13g.htm SCHEDULE 13G sc13g
 

     
 
OMB APPROVAL
  
 
OMB Number: 3235-0145
  
 
Expires: February 28, 2009
  
 
Estimated average burden hours per response...11
  
 
 
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No.     )*

NEWSTAR FINANCIAL, INC.
(Name of Issuer)
Common stock
(Title of Class of Securities)
65251F 10 5
(CUSIP Number)
December 31, 2006
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     þ Rule 13d-1(b)

     o Rule 13d-1(c)

     o 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 (“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).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 
 

 

                     
CUSIP No.
  
65251F 10 5 
 13G Page  
2 
   of   
6 Pages  

 

           
1   NAMES OF REPORTING PERSONS:
The Northwestern Mutual Life Insurance Company
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
    39-0509570
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   o
  (b)   þ
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Wisconsin
       
  5   SOLE VOTING POWER:
     
NUMBER OF   0
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   2,614,779
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   0
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    2,614,779
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  2,614,779
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  N/A
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  7.6%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IC

 

                     
CUSIP No.
  
65251F 10 5 
 13G Page  
3 
   of   
6 Pages 
 
  
 
      
 
      
 
Item 1
  (a)   Name of Issuer: NewStar Financial, Inc.
 
  (b)   Address of Issuer’s Principal Executive Offices: 500 Boylston Street, Suite 1600, Boston, MA 02116
Item 2
  (a)   Name of Person Filing: The Northwestern Mutual Life Insurance Company
 
  (b)   Address of Principal Business Office: 720 East Wisconsin Avenue, Milwaukee, Wisconsin 53202
 
  (c)   Citizenship or Place of Organization: Wisconsin
 
  (d)   Title of Class of Securities: Common Stock
 
  (e)   CUSIP Number: 65251F 10 5
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:
  (a)   o Broker or Dealer registered under Section 15 of the Act
 
  (b)   o Bank as defined in section 3(a)(6) of the Act
 
  (c)   þ Insurance company as defined in section 3(a)(19) of the Act
 
  (d)   o Investment company registered under section 8 of the Investment Company Act of 1940
 
  (e)   o An investment adviser in accordance with section 240.13d-1 (b) (1) (ii) (E)
 
  (f)   o An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F)
 
  (g)   o A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G)

 

                     
CUSIP No.
  
65251F 10 5 
 13G Page  
4 
   of   
6 Pages 
 
  
 
      
 
      
 
  (h)   o A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act
 
  (i)   o 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
 
  (j)   o Group, in accordance with section 240.13d-1(b)(1)(ii)(J)
Item 4 Ownership
     (a) Amount Beneficially Owned: 2,614,779 shares. (This amount includes 91,747 shares of Common Stock which may be acquired by exercise at any time at the option of the holder of one warrant.)
     Northwestern Investment Management Company, LLC, a wholly owned company of Northwestern Mutual, serves as an investment advisor to Northwestern Mutual and it shares voting and investment power with respect to the aforementioned holdings. Northwestern Investment Management Company, LLC’s principal place of business is 720 East Wisconsin Avenue, Milwaukee, Wisconsin, 53202. It is organized under Delaware law.
  (b)   Percent of Class: 7.6%
 
  (c)   Number of shares as to which such person has:
  (i)   Sole power to vote or to direct the vote: 0
 
  (ii)   Shared power to vote or to direct the vote: 2,614,779
 
  (iii)   Sole power to dispose or to direct the disposition of: 0
 
  (iv)   Shared power to dispose or to direct the disposition of: 2,614,779

 

                     
CUSIP No.
  
65251F 10 5 
 13G Page  
5 
   of   
6 Pages 
 
  
 
      
 
      
 
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 o.
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 or Control Person: 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 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.

 

                     
CUSIP No.
  
65251F 10 5 
 13G Page  
6 
   of   
6 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.
February 5, 2007
         
  THE NORTHWESTERN MUTUAL LIFE
INSURANCE COMPANY
 		  
  By:   /s/ Robert J. Berdan    
    Robert J. Berdan
Vice President, General Counsel and Secretary		  
       
 

 

-----END PRIVACY-ENHANCED MESSAGE-----