SEC Form 4 · accession 0000908662-17-000247
NewStar Financial, Inc. · NEWS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maureen Ohara
Director
Period of report
Dec 22, 2017
Accepted (ET)
Dec 22, 2017 · 3:07 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 StockF1 | Dec 22, 2017 | D | 126,455 | — | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $10.11 | Dec 22, 2017 | D | 10,000 | D | May 11, 2012 | May 11, 2018 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Pursuant to the Agreement and Plan of Merger among the Issuer, First Eagle Holdings, Inc., FE Holdco, LLC, and FE Merger Sub, Inc. (the "Merger Agreement"), each share is being cancelled in exchange for (1) $11.44 in cash payment and (ii) one contingent value right.
- F2Pursuant to the Merger Agreement, the option is being cancelled in exchange for (1) $11.44, minus the exercise price, for each underlying share, in cash payment and (ii) one contingent value right.