SEC Form 4 · accession 0000908662-16-000475
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 17, 2016
Accepted (ET)
Feb 18, 2016 · 4:04 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 17, 2016 | M | 50,000 | $2.76 | A | 1,444,428 | D | |
| Common Stock, par value $0.01 per share | Feb 17, 2016 | F | 34,350 | $6.76 | D | 1,410,078 | 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 | $2.76 | Feb 17, 2016 | M | 50,000 | D | — | Mar 18, 2016 | Common Stock | 50,000 | 600,000 | D |
Explanation of responses
- F1Fully vested