SEC Form 4 · accession 0000908662-15-000363

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 4, 2015

Accepted (ET)

Dec 8, 2015 · 4:14 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 4, 2015	M	2,775	$2.76	A	458,570	D
Common Stock	Dec 4, 2015	F	1,732	$9.57	D	456,838	D
Common Stock	Dec 4, 2015	M	27,225	$2.76	A	484,063	D
Common Stock	Dec 4, 2015	F	16,977	$9.57	D	467,086	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 4, 2015	M	2,775	D	—	Mar 18, 2016	Common Stock	2,775	0	D
Common Stock^F1	$2.76	Dec 4, 2015	M	27,225	D	—	Mar 18, 2016	Common Stock	27,225	80,000	D