4//SEC Filing
Dobies David R 4
Accession 0000908662-09-000133
CIK 0001373561other
Filed
Mar 19, 8:00 PM ET
Accepted
Mar 20, 4:53 PM ET
Size
8.3 KB
Accession
0000908662-09-000133
Insider Transaction Report
Form 4
Dobies David R
M.Dir. & Head Mid Mkt. Corp
Transactions
- Award
Stock Option (Right to Buy)
2009-03-18+150,000→ 150,000 totalExercise: $2.76Exp: 2016-03-18→ Common Stock (150,000 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2009-03-18−107,225→ 0 totalExercise: $17.00Exp: 2016-12-13→ Common Stock (107,225 underlying)
Footnotes (3)
- [F1]The option provided for 60% vesting on December 13, 2006 and 10% vesting on each anniversary of December 13, 2006 thereafter.
- [F2]On March 18, 2009, the issuer cancelled, pursuant to the issuer's option exchange program, an option granted to the reporting person on December 13, 2006, and in exchange, the issuer granted a replacement option for 150,000 shares to the reporting person. The new option has an exercise price of $2.76, which is equal to the closing price of the underlying stock on the grant date.
- [F3]The option will vest and become exercisable in three substantially equal annual installments on March 18, 2010, 2011 and 2012.
Documents
Issuer
NewStar Financial, Inc.
CIK 0001373561
Entity typeother
Related Parties
1- filerCIK 0001382922
Filing Metadata
- Form type
- 4
- Filed
- Mar 19, 8:00 PM ET
- Accepted
- Mar 20, 4:53 PM ET
- Size
- 8.3 KB