SEC Form 4 · accession 0000908662-15-000338
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Kirby Bray
Officer — Chief Financial Officer
Period of report
Nov 20, 2015
Accepted (ET)
Nov 23, 2015 · 4:08 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 | 100,000 | $2.86 | A | 570,864 | D | |
| Common Stock | Nov 20, 2015 | F | 63,060 | $9.48 | D | 507,804 | D | |
| Common Stock | Nov 20, 2015 | M | 50,000 | $2.76 | A | 557,804 | D | |
| Common Stock | Nov 20, 2015 | F | 31,251 | $9.48 | D | 526,553 | 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 20, 2015 | M | 100,000 | D | — | Feb 4, 2016 | Common Stock | 100,000 | 0 | D |
| Common StockF2 | $2.76 | Nov 20, 2015 | M | 50,000 | D | — | Mar 18, 2016 | Common Stock | 50,000 | 150,000 | D |
Explanation of responses
- F1Option vested in three substantially equal annual installments beginning on February 4, 2010.
- F2Option vested in three substantially equal annual installments beginning on March 18, 2010.