SEC Form 4 · accession 0000908662-15-000337
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Frishkopf
Officer — Treasurer, Assistant Secretary
Period of report
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 4:07 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 20, 2015 | M | 50,000 | $2.76 | A | 468,690 | D | |
| Common Stock | Nov 20, 2015 | F | 27,977 | $9.48 | D | 440,713 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1 | $2.76 | Nov 20, 2015 | M | 50,000 | D | — | Mar 18, 2016 | Common Stock | 50,000 | 32,775 | D |
Explanation of responses
- F1Option is fully vested.