SEC Form 4 · accession 0000908662-15-000326
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles N Bralver
Director
Period of report
Nov 10, 2015
Accepted (ET)
Nov 12, 2015 · 4:16 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 | Nov 10, 2015 | M | 1,250 | $2.89 | A | 145,414 | D | |
| Common Stock | Nov 10, 2015 | F | 389 | $9.31 | D | 145,025 | D | |
| Common Stock | Nov 10, 2015 | M | 5,000 | $2.20 | A | 150,025 | D | |
| Common Stock | Nov 10, 2015 | F | 1,182 | $9.31 | D | 148,843 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1 | $2.89 | Nov 10, 2015 | M | 1,250 | D | — | Feb 5, 2016 | Common Stock | 1,250 | 0 | D |
| Common StockF2 | $2.20 | Nov 10, 2015 | M | 5,000 | D | — | May 13, 2016 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Option vested in three substantially equal installments on February 5, 2010, 2011 and 2012.
- F2Option vested in three substantially equal installments on May 13, 2010, 2011 and 2012.