0001140361-14-020603.txt : 20140513 0001140361-14-020603.hdr.sgml : 20140513 20140513204226 ACCESSION NUMBER: 0001140361-14-020603 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140512 FILED AS OF DATE: 20140513 DATE AS OF CHANGE: 20140513 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UNIVERSAL AMERICAN CORP. CENTRAL INDEX KEY: 0001514128 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 274683816 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: SIX INTERNATIONAL DRIVE, SUITE 190 CITY: RYE BROOK STATE: NY ZIP: 10573 BUSINESS PHONE: 914-934-5200 MAIL ADDRESS: STREET 1: SIX INTERNATIONAL DRIVE, SUITE 190 CITY: RYE BROOK STATE: NY ZIP: 10573 FORMER COMPANY: FORMER CONFORMED NAME: UNIVERSAL AMERICAN SPIN CORP. DATE OF NAME CHANGE: 20110228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Capital Z Partners III GP, L.P. CENTRAL INDEX KEY: 0001419136 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35149 FILM NUMBER: 14839010 BUSINESS ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212 965-2328 MAIL ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 FORMER NAME: FORMER CONFORMED NAME: Union Square Partners GP, L.P. DATE OF NAME CHANGE: 20071120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Capital Z Partners III, L.P. CENTRAL INDEX KEY: 0001419144 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35149 FILM NUMBER: 14839011 BUSINESS ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212 965-2328 MAIL ADDRESS: STREET 1: 230 PARK AVENUE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 FORMER NAME: FORMER CONFORMED NAME: Union Square Partners, L.P. DATE OF NAME CHANGE: 20071120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z PARTNERS LTD CENTRAL INDEX KEY: 0001075558 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35149 FILM NUMBER: 14839012 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128988700 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. CENTRAL INDEX KEY: 0001308745 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35149 FILM NUMBER: 14839014 BUSINESS ADDRESS: STREET 1: 54 THOMPSON ST. CITY: NEW YORK STATE: NY ZIP: 10012 BUSINESS PHONE: 212-965-2458 MAIL ADDRESS: STREET 1: 54 THOMPSON ST. CITY: NEW YORK STATE: NY ZIP: 10012 FORMER NAME: FORMER CONFORMED NAME: Capital Z Financial Services Private Fund II, L.P. DATE OF NAME CHANGE: 20041115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z FINANCIAL SERVICES FUND II LP CENTRAL INDEX KEY: 0001075567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35149 FILM NUMBER: 14839015 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128988700 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Capital Z Partners Management, LLC CENTRAL INDEX KEY: 0001455704 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35149 FILM NUMBER: 14839016 BUSINESS ADDRESS: STREET 1: 230 PARK AVENUE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212 965-2328 MAIL ADDRESS: STREET 1: 230 PARK AVENUE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAPITAL Z PARTNERS LP CENTRAL INDEX KEY: 0001075560 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35149 FILM NUMBER: 14839013 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2128988700 4 1 doc1.xml FORM 4 X0306 4 2014-05-12 0 0001514128 UNIVERSAL AMERICAN CORP. UAM 0001455704 Capital Z Partners Management, LLC 142 WEST 57TH STREET 3RD FLOOR NEW YORK NY 10003 0 0 1 0 0001075567 CAPITAL Z FINANCIAL SERVICES FUND II LP 142 WEST 57TH STREET 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001308745 CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P. 142 WEST 57TH STREET 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001075560 CAPITAL Z PARTNERS LP 142 WEST 57TH STREET 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001075558 CAPITAL Z PARTNERS LTD 142 WEST 57TH STREET 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001419144 Capital Z Partners III, L.P. 142 WEST 57TH STREET 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section 0001419136 Capital Z Partners III GP, L.P. 142 WEST 57TH STREET 3RD FLOOR NEW YORK NY 10019 0 0 0 1 See Remarks Section Common Stock 2014-05-12 4 S 0 7970236 6.03 D 8490543 I See Footnote Common Stock 2014-05-13 4 S 0 6000000 6.03 D 2490543 I See Footnote Represents the sale of 7,970,236 shares of Common Stock of the Issuer directly from Capital Z Financial Services Fund II, L.P. ("Capital Z"). Includes securities of the Issuer directly held by Capital Z and Capital Z Financial Services Private Fund II, L.P. ("Capital Z Private Fund"), as well as securities of the Issuer directly owned by Capital Z Partners III, L.P. ("Capital Z III"). The sole general partner of Capital Z and Capital Z Private Fund is Capital Z Partners, L.P. ("Capital Z LP"), and the sole general partner of Capital Z LP is Capital Z Partners Ltd. Capital Z Partners III GP, L.P. ("Capital Z III LP") is the general partner of Capital Z III. Capital Z Partners Management, LLC ("Capital Z Partners Management") is the investment authority for Capital Z III, and its principal business is performing investment management services for Capital Z III. Capital Z Partners Management, Capital Z III Ltd., Capital Z III GP LP and Capital Z III may be deemed to be part of a "group" along with Capital Z, Capital Z Private Fund, Capital Z Ltd. and Capital Z LP (Continuation of Footnote 2) - (within the meaning of Rule 13d-5(b) under the Securities Exchange of 1934, as amended and incorporated by reference in Rule 16a-1 of the Exchange Act) 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 (within the meaning of Rule 16a-1 of the Exchange Act) in an indeterminate portion of the securities beneficially owned by such other entity. Represents the sale of 5,926,181 shares of Common Stock of the Issuer directly from Capital Z and the sale of 73,819 shares of Common Stock of the Issuer directly from Capital Z Private Fund. See Exhibit 99.1 Joint Filer Information, incorporated by reference herein. /s/ Capital Z Partners Management, LLC, by Craig Fisher as Authorized Signatory 2014-05-13 EX-99.1 2 misc1.htm MISCELLANEOUS EXHIBITS mm05-1314capz_uam4e991.htm

Exhibit 99.1

Joint Filer Information
 

Name of Joint Filer:
Capital Z Financial Services Fund II, L.P.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other (see Footnote 2 to Explanation of Responses)
   
Issuer Name and Ticker or Trading Symbol:
Universal American Corp. [UAM]
   
Date of Earliest Transaction Required
  
to be Reported (Month/Day/Year):
5/12/2014
   
Designated Filer:
Capital Z Partners Management, LLC

Signature:

Capital Z Financial Services Fund II, L.P.
By: Capital Z Partners, L.P., its General Partner
By: Capital Z Partners, Ltd., its General Partner


By:
/s/ Craig Fisher  
Name: Craig Fisher  
Title: General Counsel  
 
 


May 13, 2014


 
1
 



Joint Filer Information
 

Name of Joint Filer:
Capital Z Financial Services Private Fund II, L.P.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other (see Footnote 2 to Explanation of Responses)
   
Issuer Name and Ticker or Trading Symbol:
Universal American Corp. [UAM]
   
Date of Earliest Transaction Required
  
to be Reported (Month/Day/Year):
5/12/2014
   
Designated Filer:
Capital Z Partners Management, LLC

Signature:

Capital Z Financial Services Private Fund II, L.P.
By: Capital Z Partners, L.P., its General Partner
By: Capital Z Partners, Ltd., its General Partner


By:
/s/ Craig Fisher  
Name: Craig Fisher  
Title: General Counsel  

May 13, 2014


 
2
 


Joint Filer Information
 

Name of Joint Filer:
Capital Z Partners, L.P.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other (see Footnote 2 to Explanation of Responses)
   
Issuer Name and Ticker or Trading Symbol:
Universal American Corp. [UAM]
   
Date of Earliest Transaction Required
  
to be Reported (Month/Day/Year):
5/12/2014
   
Designated Filer:
Capital Z Partners Management, LLC

Signature:

Capital Z Partners, L.P.
By: Capital Z Partners, Ltd., its General Partner


By:
/s/ Craig Fisher  
Name: Craig Fisher  
Title: General Counsel  

May 13, 2014


 
3
 


Joint Filer Information
 

Name of Joint Filer:
Capital Z Partners, Ltd.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other (see Footnote 2 to Explanation of Responses)
   
Issuer Name and Ticker or Trading Symbol:
Universal American Corp. [UAM]
   
Date of Earliest Transaction Required
  
to be Reported (Month/Day/Year):
5/12/2014
   
Designated Filer:
Capital Z Partners Management, LLC
   
Signature:

Capital Z Partners, Ltd.


By:
/s/ Craig Fisher  
Name: Craig Fisher  
Title: General Counsel  

May 13, 2014



 
4
 


Joint Filer Information
 

Name of Joint Filer:
Capital Z Partners III, L.P.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other (see Footnote 2 to Explanation of Responses)
   
Issuer Name and Ticker or Trading Symbol:
Universal American Corp. [UAM]
   
Date of Earliest Transaction Required
  
to be Reported (Month/Day/Year):
5/12/2014
   
Designated Filer:
Capital Z Partners Management, LLC

Signature:

Capital Z Partners III, L.P.
By: Capital Z Partners III GP, Ltd., its General Partner



By:
/s/ Craig Fisher  
Name: Craig Fisher  
Title: General Counsel  
 


May 13, 2014

 
5
 

Joint Filer Information
 

Name of Joint Filer:
Capital Z Partners III GP, Ltd.
   
Address of Joint Filer:
142 West 57th Street, 3rd Floor
 
New York, NY 10019
   
Relationship of Joint Filer to Issuer:
Other (see Footnote 2 to Explanation of Responses)
   
Issuer Name and Ticker or Trading Symbol:
Universal American Corp. [UAM]
   
Date of Earliest Transaction Required
  
to be Reported (Month/Day/Year):
5/12/2014
   
Designated Filer:
Capital Z Partners Management, LLC

Signature:

Capital Z Partners III GP, Ltd.


By:
/s/ Craig Fisher  
Name: Craig Fisher  
Title: General Counsel  

May 13, 2014

 


6