0000908662-16-000474.txt : 20160217 0000908662-16-000474.hdr.sgml : 20160217 20160217161014 ACCESSION NUMBER: 0000908662-16-000474 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160212 FILED AS OF DATE: 20160217 DATE AS OF CHANGE: 20160217 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: 161433365 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 2016-02-12 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 2016-02-12 4 A 0 35885 0 A 156524 D Common Stock, par value $0.01 per share 2016-02-13 4 F 0 2951 6.27 D 153573 D Common Stock, par value $0.01 per share 2016-02-14 4 F 0 945 6.27 D 152628 D The securities reported are shares of restricted stock which will vest in three substantially equal installments on each of the next three anniversaries of the grant date (February 12, 2016). /s/ John K. Bray as attorney-in-fact 2016-02-17