SEC Form 4 · accession 0000908662-16-000528
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Fallon
Director
Period of report
May 12, 2016
Accepted (ET)
May 13, 2016 · 4:32 pm EDT
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 | May 12, 2016 | M | 15,000 | $2.20 | A | 78,294 | D | |
| Common Stock | May 12, 2016 | F | 4,521 | $7.30 | D | 73,773 | 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 | $2.20 | May 12, 2016 | M | 15,000 | D | — | May 13, 2016 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Fully vested.