SEC Form 4 · accession 0000908662-16-000492
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
Mar 3, 2016
Accepted (ET)
Mar 4, 2016 · 4:10 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 | Mar 3, 2016 | M | 300,000 | $2.76 | A | 1,741,800 | D | |
| Common Stock, par value $0.01 per share | Mar 3, 2016 | F | 197,746 | $7.76 | D | 1,544,054 | 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 | Mar 3, 2016 | M | 300,000 | D | — | Mar 18, 2016 | Common Stock | 300,000 | 200,000 | D |
Explanation of responses
- F1Fully vested