SEC Form 4 · accession 0000908662-16-000440
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark R. du Four
Officer — Head - Leveraged Finance
Period of report
Jan 27, 2016
Accepted (ET)
Jan 29, 2016 · 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 | Jan 27, 2016 | M | 30,000 | $2.86 | A | 109,040 | D | |
| Common Stock | Jan 27, 2016 | F | 18,114 | $7.54 | D | 90,926 | 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 | Jan 27, 2016 | M | 30,000 | D | — | Feb 4, 2016 | Common Stock | 30,000 | 0 | D |
Explanation of responses
- F1Option vested in three substantially equal annual installments beginning on February 4, 2010.