0000908662-15-000360.txt : 20151204 0000908662-15-000360.hdr.sgml : 20151204 20151204161526 ACCESSION NUMBER: 0000908662-15-000360 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151203 FILED AS OF DATE: 20151204 DATE AS OF CHANGE: 20151204 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: McAuliffe Patrick F CENTRAL INDEX KEY: 0001549023 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 151270258 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 2015-12-03 0001373561 NewStar Financial, Inc. NEWS 0001549023 McAuliffe Patrick F C/O NEWSTAR FINANCIAL, INC. 500 BOYLSTON STREET, SUITE 1250 BOSTON MA 02116 0 1 0 0 Head, Leveraged Finance Common Stock, par value $0.01 per share 2015-12-03 4 M 0 12500 2.86 A 124591 D Common Stock, par value $0.01 per share 2015-12-03 4 F 0 8029 9.43 D 116562 D Stock Option (right to buy) 2.86 2015-12-03 4 M 0 12500 0 D 2016-02-04 Common Stock 12500 12500 D The options are fully exercisable. /s/ John K. Bray as attorney-in-fact 2015-12-04