SEC Form 4 · accession 0000908662-15-000360

NewStar Financial, Inc. · NEWS

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

Reporting owner

Officer — Head, Leveraged Finance

Period of report

Dec 3, 2015

Accepted (ET)

Dec 4, 2015 · 4:15 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, par value $0.01 per share	Dec 3, 2015	M	12,500	$2.86	A	124,591	D
Common Stock, par value $0.01 per share	Dec 3, 2015	F	8,029	$9.43	D	116,562	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F1	$2.86	Dec 3, 2015	M	12,500	D	—	Feb 4, 2016	Common Stock	12,500	12,500	D