SEC Form 4 · accession 0000908662-15-000207
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maureen Ohara
Director
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 StockF1 | May 12, 2015 | A | 9,337 | $0.00 | A | 98,512 | D | |
| Common Stock | May 12, 2015 | M | 313 | $6.40 | A | 98,825 | 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)F2 | $6.40 | May 12, 2015 | M | 313 | D | — | May 14, 2015 | Common Stock | 313 | 0 | D |
Explanation of responses
- F1The securities reported are shares of restricted stock which will vest in full on the one year anniversary of the grant date.
- F2The option vested in three substantially equal installments on May 14, 2009, 2010, and 2011.