SEC Form 4 · accession 0000908662-16-000446
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
John J Frishkopf
Officer — Treasurer, Assistant Secretary
Period of report
Feb 5, 2016
Accepted (ET)
Feb 8, 2016 · 4:08 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 5, 2016 | M | 15,000 | $2.76 | A | 482,086 | D | |
| Common Stock | Feb 5, 2016 | F | 9,761 | $5.72 | D | 472,325 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | By Trust |
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 | Feb 5, 2016 | M | 15,000 | D | — | Mar 18, 2016 | Common Stock | 15,000 | 65,000 | D |
Explanation of responses
- F1Option is fully vested.