SEC Form 4 · accession 0000908662-15-000364
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
Dec 4, 2015
Accepted (ET)
Dec 8, 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 | Dec 4, 2015 | M | 100,000 | $2.76 | A | 645,476 | D | |
| Common Stock | Dec 4, 2015 | F | 62,360 | $9.57 | D | 583,116 | 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 | $2.76 | Dec 4, 2015 | M | 100,000 | D | — | Mar 18, 2016 | Common Stock | 100,000 | 0 | D |
Explanation of responses
- F1Option vested in three substantially equal annual installments beginning on March 18, 2010.