Filing Details

Accession Number:
0000908662-13-000095
Form Type:
5
Zero Holdings:
No
Publication Time:
2013-02-13 16:36:11
Reporting Period:
2012-12-31
Filing Date:
2013-02-13
Accepted Time:
2013-02-13 16:36:11
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1373561 Newstar Financial Inc. NEWS Finance Lessors (6172) 542157878
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1549022 J John Frishkopf C/O Newstar Financial, Inc.
500 Boylston Street, Suite 1250
Boston MA 02116
Head - Treasury & Asset Mgmt. No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share Disposition 2012-12-10 4,800 $12.33 440,861 No 4 S Direct
Common Stock, Par Value $0.01 Per Share Disposition 2012-12-14 2,250 $0.00 438,611 No 5 G Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 5 G Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share 1,000 Indirect By Spouse
Footnotes
  1. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $12.23 to $12.48, inclusive. The reporting person undertakes to provide NewStar Financial, Inc., any security holder of NewStar Financial, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 1.