- Current report filing (8-K)
November 08 2011 - 7:32AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
The Securities Exchange Act of
1934
November 4, 2011
Date of Report (Date of earliest event reported)
NewStar
Financial, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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001-33211
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54-2157878
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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500 Boylston Street, Suite 1250, Boston, MA 02116
(Address of principal executive offices) (Zip Code)
(617) 848-2500
(Registrants telephone number, including area code)
N/A
(Former name or former address, if changed since last report.)
Check the appropriate box below
if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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On
November 4, 2011, NewStar Financial, Inc. (the Company) entered into the First Amendment (the Amendment) to the Fourth Amended and Restated Loan and Servicing Agreement by and among NewStar CP Funding LLC, as the
borrower, the Company as the originator and the servicer, Wells Fargo Bank, National Association as the institutional lender, and Wells Fargo Securities, LLC as the administrative agent.
The Amendment increased the credit facility amount from $125,000,000 to $150,000,000.
ITEM 9.01.
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FINANCIAL STATEMENTS AND EXHIBITS.
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(d) Exhibits
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10.1
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First Amendment to the Fourth Amended and Restated Loan and Servicing Agreement dated as of November 4, 2011, by and among NewStar Financial, Inc., NewStar CP
Funding LLC, Wells Fargo, National Association and Wells Fargo Securities, LLC.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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NEWSTAR FINANCIAL INC.
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Date: November 8, 2011
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By:
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/s/ JOHN KIRBY BRAY
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John Kirby Bray
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Chief Financial Officer
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3
EXHIBIT INDEX
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Exhibit
Number
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Description
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10.1
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First Amendment to the Fourth Amended and Restated Loan and Servicing Agreement dated as of November 4, 2011, by and among NewStar Financial, Inc., NewStar CP Funding LLC, Wells
Fargo, National Association and Wells Fargo Securities, LLC.
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