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4//SEC Filing

NewStar Financial, Inc. 4

Accession 0000908662-15-000167

CIK 0001373561operating
View on SEC.govCompany Profile

Filed

May 7, 8:00 PM ET

Accepted

May 8, 4:15 PM ET

Size

24.2 KB

Accession

0000908662-15-000167

Insider Transaction Report

Form 4
Period: 2015-05-06
NewStar Financial, Inc.NEWS
Capital Z Partners III, L.P.
Other
Transactions
  • Tax Payment

    Common Stock

    2015-05-06$11.37/sh−2,815$32,007→ 5,557,964 total(indirect: See notes)
  • Exercise of In-Money

    Common Stock

    2015-05-06$6.40/sh+5,000$32,000→ 5,560,779 total(indirect: See notes)
  • Exercise of In-Money

    Stock Option (right to buy)

    2015-05-06−5,000→ 0 total
    Exercise: $6.40Exp: 2015-05-14→ Common Stock (5,000 underlying)
Holdings

  • Common Stock

    (indirect: See notes)
    4,000,000
CAPITAL Z PARTNERS LP
Other
Transactions
  • Exercise of In-Money

    Common Stock

    2015-05-06$6.40/sh+5,000$32,000→ 5,560,779 total(indirect: See notes)
  • Exercise of In-Money

    Stock Option (right to buy)

    2015-05-06−5,000→ 0 total
    Exercise: $6.40Exp: 2015-05-14→ Common Stock (5,000 underlying)
  • Tax Payment

    Common Stock

    2015-05-06$11.37/sh−2,815$32,007→ 5,557,964 total(indirect: See notes)
Holdings

  • Common Stock

    (indirect: See notes)
    4,000,000
CAPITAL Z PARTNERS LTD
Other
Transactions
  • Tax Payment

    Common Stock

    2015-05-06$11.37/sh−2,815$32,007→ 5,557,964 total(indirect: See notes)
  • Exercise of In-Money

    Stock Option (right to buy)

    2015-05-06−5,000→ 0 total
    Exercise: $6.40Exp: 2015-05-14→ Common Stock (5,000 underlying)
  • Exercise of In-Money

    Common Stock

    2015-05-06$6.40/sh+5,000$32,000→ 5,560,779 total(indirect: See notes)
Holdings

  • Common Stock

    (indirect: See notes)
    4,000,000
Capital Z Partners III GP, Ltd.
Other
Transactions
  • Tax Payment

    Common Stock

    2015-05-06$11.37/sh−2,815$32,007→ 5,557,964 total(indirect: See notes)
  • Exercise of In-Money

    Stock Option (right to buy)

    2015-05-06−5,000→ 0 total
    Exercise: $6.40Exp: 2015-05-14→ Common Stock (5,000 underlying)
  • Exercise of In-Money

    Common Stock

    2015-05-06$6.40/sh+5,000$32,000→ 5,560,779 total(indirect: See notes)
Holdings

  • Common Stock

    (indirect: See notes)
    4,000,000
Capital Z Partners Management, LLC
10% Owner
Transactions
  • Exercise of In-Money

    Common Stock

    2015-05-06$6.40/sh+5,000$32,000→ 5,560,779 total(indirect: See notes)
  • Exercise of In-Money

    Stock Option (right to buy)

    2015-05-06−5,000→ 0 total
    Exercise: $6.40Exp: 2015-05-14→ Common Stock (5,000 underlying)
  • Tax Payment

    Common Stock

    2015-05-06$11.37/sh−2,815$32,007→ 5,557,964 total(indirect: See notes)
Holdings

  • Common Stock

    (indirect: See notes)
    4,000,000
Capital Z Partners III GP, L.P.
Other
Transactions
  • Tax Payment

    Common Stock

    2015-05-06$11.37/sh−2,815$32,007→ 5,557,964 total(indirect: See notes)
  • Exercise of In-Money

    Common Stock

    2015-05-06$6.40/sh+5,000$32,000→ 5,560,779 total(indirect: See notes)
  • Exercise of In-Money

    Stock Option (right to buy)

    2015-05-06−5,000→ 0 total
    Exercise: $6.40Exp: 2015-05-14→ Common Stock (5,000 underlying)
Holdings

  • Common Stock

    (indirect: See notes)
    4,000,000
CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P.
Other
Transactions
  • Tax Payment

    Common Stock

    2015-05-06$11.37/sh−2,815$32,007→ 5,557,964 total(indirect: See notes)
  • Exercise of In-Money

    Stock Option (right to buy)

    2015-05-06−5,000→ 0 total
    Exercise: $6.40Exp: 2015-05-14→ Common Stock (5,000 underlying)
  • Exercise of In-Money

    Common Stock

    2015-05-06$6.40/sh+5,000$32,000→ 5,560,779 total(indirect: See notes)
Holdings

  • Common Stock

    (indirect: See notes)
    4,000,000
CAPITAL Z FINANCIAL SERVICES FUND II LP
Other
Transactions
  • Tax Payment

    Common Stock

    2015-05-06$11.37/sh−2,815$32,007→ 5,557,964 total(indirect: See notes)
  • Exercise of In-Money

    Stock Option (right to buy)

    2015-05-06−5,000→ 0 total
    Exercise: $6.40Exp: 2015-05-14→ Common Stock (5,000 underlying)
  • Exercise of In-Money

    Common Stock

    2015-05-06$6.40/sh+5,000$32,000→ 5,560,779 total(indirect: See notes)
Holdings

  • Common Stock

    (indirect: See notes)
    4,000,000
Footnotes (5)
  • [F1]See Footnote 1 in Exhibit 99.1.
  • [F2]See Footnote 2 in Exhibit 99.1.
  • [F3]See Footnote 3 in Exhibit 99.1.
  • [F4]See Footnote 4 in Exhibit 99.1.
  • [F5]The options were fully exercisable as of May 14, 2011.

Documents

2 files

Issuer

NewStar Financial, Inc.

CIK 0001373561

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001373561

Filing Metadata

Form type
4
Filed
May 7, 8:00 PM ET
Accepted
May 8, 4:15 PM ET
Size
24.2 KB
View on SEC.gov