Home/Filings/4/0000908662-16-000519

4//SEC Filing

NewStar Financial, Inc. 4

Accession 0000908662-16-000519

CIK 0001373561operating

View on SEC.gov Company Profile

Filed

Apr 27, 8:00 PM ET

Accepted

Apr 28, 3:38 PM ET

Size

26.4 KB

Accession

0000908662-16-000519

Insider Transaction Report

Form 4

Period: 2016-04-26

NewStar Financial, Inc.NEWS

Capital Z Partners III GP, L.P.

Other

Transactions

Tax Payment
Common Stock
2016-04-26$9.94/sh−1,107$11,004→ 5,576,061 total(indirect: See Footnotes)
Exercise of In-Money
Common Stock
2016-04-26$2.20/sh+5,000$11,000→ 5,577,168 total(indirect: See Footnotes)
Exercise of In-Money
Stock Option (right to buy)
2016-04-26−5,000→ 0 total(indirect: See Footnotes)
Exercise: $2.20Exp: 2016-05-13→ Common Stock (5,000 underlying)

Holdings

Common Stock
(indirect: See Footnotes)
4,000,000
Common Stock
29,919

CAPITAL Z FINANCIAL SERVICES PRIVATE FUND II, L.P.

Other

Transactions

Tax Payment
Common Stock
2016-04-26$9.94/sh−1,107$11,004→ 5,576,061 total(indirect: See Footnotes)
Exercise of In-Money
Stock Option (right to buy)
2016-04-26−5,000→ 0 total(indirect: See Footnotes)
Exercise: $2.20Exp: 2016-05-13→ Common Stock (5,000 underlying)
Exercise of In-Money
Common Stock
2016-04-26$2.20/sh+5,000$11,000→ 5,577,168 total(indirect: See Footnotes)

Holdings

Common Stock
(indirect: See Footnotes)
4,000,000
Common Stock
29,919

CAPITAL Z FINANCIAL SERVICES FUND II LP

Other

Transactions

Tax Payment
Common Stock
2016-04-26$9.94/sh−1,107$11,004→ 5,576,061 total(indirect: See Footnotes)
Exercise of In-Money
Stock Option (right to buy)
2016-04-26−5,000→ 0 total(indirect: See Footnotes)
Exercise: $2.20Exp: 2016-05-13→ Common Stock (5,000 underlying)
Exercise of In-Money
Common Stock
2016-04-26$2.20/sh+5,000$11,000→ 5,577,168 total(indirect: See Footnotes)

Holdings

Common Stock
29,919
Common Stock
(indirect: See Footnotes)
4,000,000

Capital Z Partners III GP, Ltd.

Other

Transactions

Exercise of In-Money
Common Stock
2016-04-26$2.20/sh+5,000$11,000→ 5,577,168 total(indirect: See Footnotes)
Exercise of In-Money
Stock Option (right to buy)
2016-04-26−5,000→ 0 total(indirect: See Footnotes)
Exercise: $2.20Exp: 2016-05-13→ Common Stock (5,000 underlying)
Tax Payment
Common Stock
2016-04-26$9.94/sh−1,107$11,004→ 5,576,061 total(indirect: See Footnotes)

Holdings

Common Stock
(indirect: See Footnotes)
4,000,000
Common Stock
29,919

Capital Z Partners Management, LLC

10% Owner

Transactions

Exercise of In-Money
Stock Option (right to buy)
2016-04-26−5,000→ 0 total(indirect: See Footnotes)
Exercise: $2.20Exp: 2016-05-13→ Common Stock (5,000 underlying)
Tax Payment
Common Stock
2016-04-26$9.94/sh−1,107$11,004→ 5,576,061 total(indirect: See Footnotes)
Exercise of In-Money
Common Stock
2016-04-26$2.20/sh+5,000$11,000→ 5,577,168 total(indirect: See Footnotes)

Holdings

Common Stock
29,919
Common Stock
(indirect: See Footnotes)
4,000,000

Capital Z Partners III, L.P.

Other

Transactions

Exercise of In-Money
Stock Option (right to buy)
2016-04-26−5,000→ 0 total(indirect: See Footnotes)
Exercise: $2.20Exp: 2016-05-13→ Common Stock (5,000 underlying)
Exercise of In-Money
Common Stock
2016-04-26$2.20/sh+5,000$11,000→ 5,577,168 total(indirect: See Footnotes)
Tax Payment
Common Stock
2016-04-26$9.94/sh−1,107$11,004→ 5,576,061 total(indirect: See Footnotes)

Holdings

Common Stock
(indirect: See Footnotes)
4,000,000
Common Stock
29,919

CAPITAL Z PARTNERS LP

Other

Transactions

Exercise of In-Money
Stock Option (right to buy)
2016-04-26−5,000→ 0 total(indirect: See Footnotes)
Exercise: $2.20Exp: 2016-05-13→ Common Stock (5,000 underlying)
Exercise of In-Money
Common Stock
2016-04-26$2.20/sh+5,000$11,000→ 5,577,168 total(indirect: See Footnotes)
Tax Payment
Common Stock
2016-04-26$9.94/sh−1,107$11,004→ 5,576,061 total(indirect: See Footnotes)

Holdings

Common Stock
29,919
Common Stock
(indirect: See Footnotes)
4,000,000

CAPITAL Z PARTNERS LTD

Other

Transactions

Tax Payment
Common Stock
2016-04-26$9.94/sh−1,107$11,004→ 5,576,061 total(indirect: See Footnotes)
Exercise of In-Money
Common Stock
2016-04-26$2.20/sh+5,000$11,000→ 5,577,168 total(indirect: See Footnotes)
Exercise of In-Money
Stock Option (right to buy)
2016-04-26−5,000→ 0 total(indirect: See Footnotes)
Exercise: $2.20Exp: 2016-05-13→ Common Stock (5,000 underlying)

Holdings

Common Stock
29,919
Common Stock
(indirect: See Footnotes)
4,000,000

COOPER BRADLEY E

Director

Transactions

Exercise of In-Money
Common Stock
2016-04-26$2.20/sh+5,000$11,000→ 5,577,168 total(indirect: See Footnotes)
Tax Payment
Common Stock
2016-04-26$9.94/sh−1,107$11,004→ 5,576,061 total(indirect: See Footnotes)
Exercise of In-Money
Stock Option (right to buy)
2016-04-26−5,000→ 0 total(indirect: See Footnotes)
Exercise: $2.20Exp: 2016-05-13→ Common Stock (5,000 underlying)

Holdings

Common Stock
(indirect: See Footnotes)
4,000,000
Common Stock
29,919

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 became fully vested and exercisable as of May 13, 2012.

Documents

2 files

Issuer

NewStar Financial, Inc.

CIK 0001373561

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001373561

Filing Metadata

Form type: 4
Filed: Apr 27, 8:00 PM ET
Accepted: Apr 28, 3:38 PM ET
Size: 26.4 KB

View on SEC.gov