SEC Form 4 · accession 0000908662-16-000488
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 29, 2016
Accepted (ET)
Mar 1, 2016 · 4:12 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 29, 2016 | M | 125,000 | $2.76 | A | 1,235,849 | D | |
| Common Stock | Feb 29, 2016 | F | 86,639 | $6.86 | D | 1,149,210 | 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 29, 2016 | M | 125,000 | D | — | Mar 18, 2016 | Common Stock | 125,000 | 125,000 | D |
Explanation of responses
- F1Option is fully vested.