SEC Form 4 · accession 0000908662-15-000331
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark R. du Four
Officer — Head - Leveraged Finance
Period of report
Nov 17, 2015
Accepted (ET)
Nov 19, 2015 · 4:19 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 17, 2015 | M | 10,000 | $2.86 | A | 84,378 | D | |
| Common Stock | Nov 17, 2015 | F | 5,338 | $9.25 | D | 79,040 | 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 | $2.86 | Nov 17, 2015 | M | 10,000 | D | — | Feb 4, 2016 | Common Stock | 10,000 | 30,000 | D |
Explanation of responses
- F1Option vested in three substantially equal annual installments beginning on February 4, 2010.