0000908662-15-000326.txt : 20151112 0000908662-15-000326.hdr.sgml : 20151112 20151112161630 ACCESSION NUMBER: 0000908662-15-000326 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151110 FILED AS OF DATE: 20151112 DATE AS OF CHANGE: 20151112 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NewStar Financial, Inc. CENTRAL INDEX KEY: 0001373561 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE LESSORS [6172] IRS NUMBER: 542157878 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 BOYLSTON STREET STREET 2: SUITE 1250 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: (617) 848-2500 MAIL ADDRESS: STREET 1: 500 BOYLSTON STREET STREET 2: SUITE 1250 CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bralver Charles N CENTRAL INDEX KEY: 0001454740 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 151225025 MAIL ADDRESS: STREET 1: NEWSTAR FINANCIAL INC STREET 2: 500 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-11-10 0001373561 NewStar Financial, Inc. NEWS 0001454740 Bralver Charles N C/O NEWSTAR FINANCIAL, INC. 500 BOYLSTON STREET, SUITE 1250 BOSTON MA 02116 1 0 0 0 Common Stock 2015-11-10 4 M 0 1250 2.89 A 145414 D Common Stock 2015-11-10 4 F 0 389 9.31 D 145025 D Common Stock 2015-11-10 4 M 0 5000 2.20 A 150025 D Common Stock 2015-11-10 4 F 0 1182 9.31 D 148843 D Common Stock 2.89 2015-11-10 4 M 0 1250 0 D 2016-02-05 Common Stock 1250 0 D Common Stock 2.20 2015-11-10 4 M 0 5000 0 D 2016-05-13 Common Stock 5000 0 D Option vested in three substantially equal installments on February 5, 2010, 2011 and 2012. Option vested in three substantially equal installments on May 13, 2010, 2011 and 2012. /s/ John K. Bray as attorney-in-fact 2015-11-12