SEC Form 4 · accession 0000908662-15-000141
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank R Noonan
Director
Period of report
Mar 20, 2015
Accepted (ET)
Apr 13, 2015 · 4:17 pm EDT
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 | Mar 20, 2015 | M | 25,000 | $6.40 | A | 77,988 | D | |
| Common Stock | Mar 20, 2015 | F | 5,058 | $11.0091 | D | 72,930 | D | |
| Common Stock | Mar 20, 2015 | S | 3,642 | $11.0091 | D | 69,288 | D | |
| Common Stock | Mar 20, 2015 | F | 9,344 | $11.1654 | D | 59,944 | D | |
| Common Stock | Mar 20, 2015 | S | 6,956 | $11.1654 | D | 52,988 | D |
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 | $6.40 | Mar 20, 2015 | M | 25,000 | D | — | May 14, 2015 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1The options were fully exercisable as of May 14, 2011.