SEC Form 4 · accession 0000908662-17-000103
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Fallon
Director
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 4:02 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 10, 2017 | M | 15,000 | $8.28 | A | 102,231 | D | |
| Common Stock | May 10, 2017 | F | 12,648 | $9.82 | D | 89,583 | 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 | May 10, 2017 | M | 15,000 | D | — | May 12, 2017 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Fully vested.