SEC Form 4 · accession 0000908662-16-000471
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Frishkopf
Officer — Treasurer, Assistant Secretary
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,F2 | Feb 12, 2016 | A | 23,923 | $0.00 | A | 507,009 | D | |
| Common Stock, par value $0.01 per share | Feb 13, 2016 | F | 1,536 | $6.27 | D | 505,473 | 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).
- F2Reflects transfer of 1,000 shares previously held in trust of which the reporting person was the sole beneficiary to direct ownership.