SEC Form 4 · accession 0000908662-16-000443
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Fallon
Director
Period of report
Feb 1, 2016
Accepted (ET)
Feb 2, 2016 · 5:38 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 | Feb 1, 2016 | M | 2,500 | $2.86 | A | 64,325 | D | |
| Common Stock | Feb 1, 2016 | F | 1,031 | $6.94 | D | 63,294 | 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 | Feb 1, 2016 | M | 2,500 | D | — | Feb 4, 2016 | Common Stock | 2,500 | 0 | D |
Explanation of responses
- F1Fully vested.