SEC Form 4 · accession 0000908662-15-000357

NewStar Financial, Inc. · NEWS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Treasurer, Assistant Secretary

Period of report

Dec 1, 2015

Accepted (ET)

Dec 2, 2015 · 4:25 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	Dec 1, 2015	M	30,000	$2.76	A	470,713	D
Common Stock	Dec 1, 2015	F	18,647	$9.70	D	452,066	D
Common Stock	Dec 1, 2015	M	10,000	$2.86	A	462,066	D
Common Stock	Dec 1, 2015	F	6,271	$9.70	D	455,795	D
Common Stock	holding	—	—		—	1,000	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock^F1	$2.76	Dec 1, 2015	M	30,000	D	—	Mar 18, 2016	Common Stock	30,000	2,775	D
Common Stock^F1,F2	$2.86	Dec 1, 2015	M	10,000	D	—	Feb 4, 2016	Common Stock	10,000	0	D