SEC Form 4 · accession 0000908662-17-000082
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles N Bralver
Director
Period of report
Mar 17, 2017
Accepted (ET)
Mar 21, 2017 · 4:04 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 | Mar 17, 2017 | M | 5,000 | $8.28 | A | 163,937 | D | |
| Common Stock | Mar 17, 2017 | F | 3,870 | $10.7744 | D | 160,067 | D | |
| Common Stock | Mar 17, 2017 | M | 5,000 | $10.11 | A | 165,067 | D | |
| Common Stock | Mar 17, 2017 | F | 4,730 | $10.7479 | D | 160,337 | 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 | $8.28 | Mar 17, 2017 | M | 5,000 | D | — | May 12, 2017 | Common Stock | 5,000 | 0 | D |
| Common StockF1 | $10.11 | Mar 17, 2017 | M | 5,000 | D | — | May 11, 2018 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Fully vested