SEC Form 4 · accession 0000908662-17-000094
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark R. du Four
Officer — Head of Capital Markets
Period of report
Apr 20, 2017
Accepted (ET)
Apr 24, 2017 · 4:07 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, par value $0.01 per share | Apr 20, 2017 | M | 35,000 | $8.28 | A | 167,679 | D | |
| Common Stock, par value $0.01 per share | Apr 20, 2017 | F | 29,901 | $10.56 | D | 137,778 | 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 | Apr 20, 2017 | M | 35,000 | D | — | May 12, 2017 | Common Stock | 35,000 | 0 | D |
Explanation of responses
- F1Fully vested