SEC Form 4 · accession 0000908662-16-000470
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter A Schmidt-Fellner
Officer — Chief Investment Officer · Director
Period of report
Feb 12, 2016
Accepted (ET)
Feb 17, 2016 · 4:06 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 shareF1 | Feb 12, 2016 | A | 35,087 | $0.00 | A | 1,114,389 | D | |
| Common Stock, par value $0.01 per share | Feb 13, 2016 | F | 3,540 | $6.27 | D | 1,110,849 | D |
Table II — derivative securities
No Table II lines on this filing.
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).