0000908662-17-000244.txt : 20171222 0000908662-17-000244.hdr.sgml : 20171222 20171222150431 ACCESSION NUMBER: 0000908662-17-000244 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171222 FILED AS OF DATE: 20171222 DATE AS OF CHANGE: 20171222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fallon Brian CENTRAL INDEX KEY: 0001451001 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33211 FILM NUMBER: 171272512 MAIL ADDRESS: STREET 1: NEWSTAR FINANCIAL INC STREET 2: 500 BOYLSTON ST SUITE 1600 CITY: BOSTON STATE: MA ZIP: 02116 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-12-22 1 0001373561 NewStar Financial, Inc. NEWS 0001451001 Fallon Brian C/O NEWSTAR FINANCIAL, INC. 500 BOYLSTON STREET, SUITE 1250 BOSTON MA 02116 1 0 0 0 Common Stock 2017-12-22 4 D 0 99892 D 0 D Stock Option (Right to Buy) 10.11 2017-12-22 4 D 0 10000 D 2012-05-11 2018-05-11 Common Stock 10000 0 D Pursuant to the Agreement and Plan of Merger among the Issuer, First Eagle Holdings, Inc., FE Holdco, LLC, and FE Merger Sub, Inc. (the "Merger Agreement"), each share is being cancelled in exchange for (1) $11.44 in cash payment and (ii) one contingent value right. Pursuant to the Merger Agreement, the option is being cancelled in exchange for (1) $11.44, minus the exercise price, for each underlying share, in cash payment and (ii) one contingent value right. /s/ John K. Bray as attorney-in-fact 2017-12-22