Newstar Financial, Inc. - Initial Statement of Beneficial Ownership (3)
May 23 2008 - 12:49PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Expires:
January 31, 2008
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Clemmens Robert T
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/14/2008
|
3. Issuer Name
and
Ticker or Trading Symbol
NewStar Financial, Inc. [NEWS]
|
(Last)
(First)
(Middle)
C/O NEWSTAR FINANCIAL, INC., 500 BOYLSTON STREET, SUITE 1600
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Chief Credit Officer /
|
(Street)
BOSTON, MA 02116
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Stock, par value $0.01 per share
|
168043
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Option (Right to Buy)
|
(1)
|
2/12/2015
|
Common Stock
|
75000
|
$7.32
|
D
|
|
Stock Option (Right to Buy)
|
(2)
|
12/13/2016
|
Common Stock
|
93822
|
$17.00
|
D
|
|
Warrant (Right to Buy)
|
6/18/2004
|
6/18/2014
|
Common Stock
|
3747
|
$10.90
|
D
|
|
Explanation of Responses:
|
(
1)
|
The option will vest and become exercisable in three equal annual installments on February 12, 2009, 2010 and 2011.
|
(
2)
|
The option vests as follow: 60% vested on December 13, 2006, 10% vested on December 13, 2007, and the remaining 30% will vest in three equal installments on December 13, 2008, 2009 and 2010.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Clemmens Robert T
C/O NEWSTAR FINANCIAL, INC.
500 BOYLSTON STREET, SUITE 1600
BOSTON, MA 02116
|
|
|
Chief Credit Officer
|
|
Signatures
|
/s/ Robert T. Clemmens
|
|
5/22/2008
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Newstar Financial, Inc. (MM) (NASDAQ:NEWS)
Historical Stock Chart
From Aug 2024 to Sep 2024
Newstar Financial, Inc. (MM) (NASDAQ:NEWS)
Historical Stock Chart
From Sep 2023 to Sep 2024