SEC Form 4 · accession 0000908662-15-000205
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley E Cooper
Director · 10% Owner
Period of report
May 12, 2015
Accepted (ET)
May 14, 2015 · 4:27 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 StockF4 | May 12, 2015 | A | 7,002 | $0.00 | A | 36,921 | D | |
| Common StockF1,F3 | holding | — | — | — | 4,000,000 | I | See notes | |
| Common StockF2,F3 | holding | — | — | — | 5,557,964 | I | See notes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1See Footnote 1 in Exhibit 99.1.
- F2See Footnote 2 in Exhibit 99.1.
- F3See Footnote 3 in Exhibit 99.1.
- F4The securities reported are shares of restricted stock which will vest in full on the one year anniversary of the grant date.