SEC Form 4 · accession 0000908662-16-000468
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Conway
Officer — Chairman, CEO and President · Director
Period of report
Feb 12, 2016
Accepted (ET)
Feb 17, 2016 · 4:05 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, par value $0.01 per share | Feb 12, 2016 | M | 150,000 | $2.86 | A | 1,459,955 | D | |
| Common Stock, par value $0.01 per share | Feb 12, 2016 | F | 105,582 | $6.27 | D | 1,354,373 | D | |
| Common Stock, par value $0.01 per shareF1 | Feb 12, 2016 | A | 47,846 | $0.00 | A | 1,402,219 | D | |
| Common Stock, par value $0.01 per share | Feb 13, 2016 | F | 7,791 | $6.27 | D | 1,394,428 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2 | $2.76 | Feb 12, 2016 | M | 150,000 | D | — | Mar 18, 2016 | Common Stock | 150,000 | 650,000 | D |
Explanation of responses
- F1The securities reported are shares of restricted stock which will vest in three substantially equal installments on each of the next three anniversaries of the grant date (February 12, 2016).
- F2Fully vested