SEC Form 4 · accession 0000908662-15-000039
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Frishkopf
Officer — Treasurer, Assistant Secretary
Period of report
Feb 10, 2015
Accepted (ET)
Feb 11, 2015 · 4:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001373561
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per share | Feb 10, 2015 | M | 10,000 | $7.32 | A | 380,979 | D | |
| Common Stock, par value $0.01 per share | holding | — | — | — | 1,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $7.32 | Feb 10, 2015 | M | 10,000 | D | — | Feb 12, 2015 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Option is fully vested.