| Symbol | Company | Owner | Relationship | Date | Transaction | Cost | # Shares | Value ($) | Total Shares | Filing | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| NEWS | NewStar Financial, Inc. | du Four Mark R. | Head - Leveraged Finance | Nov 17, 2015 | Option Exercise | $9.25 | 5,338 | 49,377 | 79,040 | Nov 19, 2015, 04:19 PM | |
| NEWS | NewStar Financial, Inc. | du Four Mark R. | Head - Leveraged Finance | Nov 17, 2015 | Option Exercise | $2.86 | 10,000 | 28,600 | 84,378 | Nov 19, 2015, 04:19 PM | |
| NEWS | NewStar Financial, Inc. | OHARA MAUREEN | Director | Nov 10, 2015 | Buy | $9.75 | 300 | 2,925 | 99,125 | Nov 12, 2015, 04:17 PM | |
| NEWS | NewStar Financial, Inc. | Bralver Charles N | Director | Nov 10, 2015 | Option Exercise | $9.31 | 1,571 | 14,626 | 148,843 | Nov 12, 2015, 04:16 PM | |
| NEWS | NewStar Financial, Inc. | Bralver Charles N | Director | Nov 10, 2015 | Option Exercise | $2.34 | 6,250 | 14,613 | 150,025 | Nov 12, 2015, 04:16 PM | |
| NEWS | NewStar Financial, Inc. | McAuliffe Patrick F | Head, Leveraged Finance | May 09, 2015 | Option Exercise | $10.91 | 17,025 | 185,743 | 112,091 | Jun 30, 2015, 04:03 PM | |
| NEWS | NewStar Financial, Inc. | OHARA MAUREEN | Director | May 12, 2015 | Option Exercise | $6.40 | 313 | 2,003 | 98,825 | May 14, 2015, 04:27 PM | |
| NEWS | NewStar Financial, Inc. | Capital Z Partners III GP, Ltd. | 10% Owner | May 06, 2015 | Option Exercise | $11.37 | 22,520 | 256,052 | 5,557,964 | May 08, 2015, 04:15 PM | |
| NEWS | NewStar Financial, Inc. | Capital Z Partners III GP, Ltd. | 10% Owner | May 06, 2015 | Option Exercise | $6.40 | 40,000 | 256,000 | 5,560,779 | May 08, 2015, 04:15 PM | |
| NEWS | NewStar Financial, Inc. | Corsair Capital LLC | 10% Owner | Jun 03, 2014 | Sale | $13.10 | 166,557 | 2,181,897 | 9,538,415 | Apr 14, 2015, 07:28 PM | |
| NEWS | NewStar Financial, Inc. | Corsair Capital LLC | 10% Owner | Jun 03, 2014 | Option Exercise | $10.90 | 200,174 | 2,181,897 | 9,704,972 | Apr 14, 2015, 07:28 PM | |
| NEWS | NewStar Financial, Inc. | NOONAN FRANK R | Director | Mar 20, 2015 | Option Exercise | $11.11 | 14,402 | 160,014 | 72,930 | Apr 13, 2015, 04:17 PM | |
| NEWS | NewStar Financial, Inc. | NOONAN FRANK R | Director | Mar 20, 2015 | Option Exercise | $6.40 | 25,000 | 160,000 | 77,988 | Apr 13, 2015, 04:17 PM | |
| NEWS | NewStar Financial, Inc. | NOONAN FRANK R | Director | Mar 20, 2015 | Sale | $11.11 | 10,598 | 117,762 | 69,288 | Apr 13, 2015, 04:17 PM | |
| NEWS | NewStar Financial, Inc. | McCready Daniel D. | Chief Credit Officer | Mar 25, 2015 | Option Exercise | $10.93 | 6,216 | 67,941 | 62,959 | Mar 26, 2015, 04:18 PM | |
| NEWS | NewStar Financial, Inc. | McAuliffe Patrick F | Head, Leveraged Finance | Feb 17, 2015 | Option Exercise | $10.11 | 825 | 8,341 | 129,116 | Feb 19, 2015, 04:10 PM | |
| NEWS | NewStar Financial, Inc. | McAuliffe Patrick F | Head, Leveraged Finance | Feb 14, 2015 | Option Exercise | $10.58 | 945 | 9,998 | 129,941 | Feb 17, 2015, 04:38 PM | |
| NEWS | NewStar Financial, Inc. | McCready Daniel D. | Chief Credit Officer | Feb 14, 2015 | Option Exercise | $10.58 | 1,512 | 15,997 | 69,175 | Feb 17, 2015, 04:35 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Feb 10, 2015 | Option Exercise | $7.32 | 10,000 | 73,200 | 380,979 | Feb 11, 2015, 04:30 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Feb 02, 2015 | Option Exercise | $7.32 | 10,000 | 73,200 | 370,979 | Feb 04, 2015, 03:06 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Dec 15, 2014 | Option Exercise | $10.86 | 7,804 | 84,751 | 352,979 | Dec 23, 2014, 04:31 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Dec 15, 2014 | Option Exercise | $7.32 | 10,000 | 73,200 | 360,783 | Dec 23, 2014, 04:31 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Dec 18, 2014 | Option Exercise | $7.32 | 10,000 | 73,200 | 362,979 | Dec 23, 2014, 04:31 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Dec 09, 2014 | Option Exercise | $11.76 | 14,911 | 175,353 | 350,783 | Dec 23, 2014, 04:30 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Dec 09, 2014 | Option Exercise | $7.32 | 20,000 | 146,400 | 365,694 | Dec 23, 2014, 04:30 PM | |
| NEWS | NewStar Financial, Inc. | Schmidt-Fellner Peter A | Chief Investment Officer | Dec 09, 2014 | Option Exercise | $11.76 | 99,712 | 1,172,613 | 864,370 | Dec 23, 2014, 04:28 PM | |
| NEWS | NewStar Financial, Inc. | Schmidt-Fellner Peter A | Chief Investment Officer | Dec 09, 2014 | Option Exercise | $7.32 | 125,000 | 915,000 | 964,082 | Dec 23, 2014, 04:28 PM | |
| NEWS | NewStar Financial, Inc. | Schmidt-Fellner Peter A | Chief Investment Officer | Dec 10, 2014 | Option Exercise | $11.46 | 100,803 | 1,155,202 | 863,279 | Dec 17, 2014, 08:56 AM | |
| NEWS | NewStar Financial, Inc. | Schmidt-Fellner Peter A | Chief Investment Officer | Dec 10, 2014 | Option Exercise | $7.32 | 125,000 | 915,000 | 964,082 | Dec 17, 2014, 08:56 AM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Dec 10, 2014 | Option Exercise | $11.46 | 15,131 | 173,401 | 350,563 | Dec 17, 2014, 08:54 AM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Dec 10, 2014 | Option Exercise | $7.32 | 20,000 | 146,400 | 365,694 | Dec 17, 2014, 08:54 AM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Jun 06, 2014 | Option Exercise | $10.90 | 5,810 | 63,329 | 350,386 | Nov 25, 2014, 04:28 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Jun 06, 2014 | Option Exercise | $13.50 | 4,692 | 63,342 | 345,694 | Nov 25, 2014, 04:28 PM | |
| NEWS | NewStar Financial, Inc. | Capital Z Management, LLC | See Remarks | Jun 16, 2014 | Option Exercise | $13.82 | 65,918 | 910,987 | 35,871 | Jun 18, 2014, 05:41 PM | |
| NEWS | NewStar Financial, Inc. | CAPITAL Z PARTNERS LP | See Remarks Section | Jun 16, 2014 | Option Exercise | $10.90 | 83,576 | 910,978 | 101,789 | Jun 18, 2014, 05:41 PM | |
| NEWS | NewStar Financial, Inc. | COOPER BRADLEY E | Director | Jun 16, 2014 | Option Exercise | $13.82 | 157,881 | 2,181,915 | 5,547,091 | Jun 18, 2014, 05:41 PM | |
| NEWS | NewStar Financial, Inc. | CAPITAL Z FINANCIAL SERVICES FUND II LP | See Remarks Section | Jun 16, 2014 | Option Exercise | $10.90 | 200,174 | 2,181,897 | 5,704,972 | Jun 18, 2014, 05:41 PM | |
| NEWS | NewStar Financial, Inc. | McAuliffe Patrick F | Head, Leveraged Finance | Apr 09, 2014 | Option Exercise | $13.10 | 10,636 | 139,332 | 105,697 | Apr 10, 2014, 04:12 PM | |
| NEWS | NewStar Financial, Inc. | McAuliffe Patrick F | Head, Leveraged Finance | Apr 09, 2014 | Option Exercise | $7.32 | 15,000 | 109,800 | 116,333 | Apr 10, 2014, 04:12 PM | |
| NEWS | NewStar Financial, Inc. | Conway Timothy J | Chairman, CEO and President | Apr 02, 2014 | Option Exercise | $14.07 | 112,005 | 1,575,910 | 1,185,781 | Apr 03, 2014, 04:16 PM | |
| NEWS | NewStar Financial, Inc. | Conway Timothy J | Chairman, CEO and President | Apr 02, 2014 | Option Exercise | $7.32 | 150,000 | 1,098,000 | 1,297,786 | Apr 03, 2014, 04:16 PM | |
| NEWS | NewStar Financial, Inc. | Bray John Kirby | Chief Financial Officer | Apr 01, 2014 | Option Exercise | $14.16 | 69,648 | 986,216 | 375,168 | Apr 02, 2014, 04:07 PM | |
| NEWS | NewStar Financial, Inc. | Bray John Kirby | Chief Financial Officer | Apr 01, 2014 | Option Exercise | $7.32 | 100,000 | 732,000 | 444,816 | Apr 02, 2014, 04:07 PM | |
| NEWS | NewStar Financial, Inc. | McCready Daniel D. | Chief Credit Officer | Mar 25, 2014 | Option Exercise | $14.63 | 7,915 | 115,796 | 51,784 | Mar 26, 2014, 04:38 PM | |
| NEWS | NewStar Financial, Inc. | Conway Timothy J | Chairman, CEO and President | Mar 17, 2014 | Option Exercise | $14.92 | 15,919 | 237,511 | 1,147,786 | Mar 18, 2014, 04:18 PM | |
| NEWS | NewStar Financial, Inc. | Conway Timothy J | Chairman, CEO and President | Mar 17, 2014 | Option Exercise | $10.90 | 21,789 | 237,500 | 1,163,705 | Mar 18, 2014, 04:18 PM | |
| NEWS | NewStar Financial, Inc. | Schmidt-Fellner Peter A | Chief Investment Officer | Feb 27, 2014 | Option Exercise | $10.90 | 12,997 | 141,667 | 848,264 | Mar 03, 2014, 05:09 PM | |
| NEWS | NewStar Financial, Inc. | Schmidt-Fellner Peter A | Chief Investment Officer | Feb 27, 2014 | Option Exercise | $15.43 | 9,182 | 141,678 | 839,082 | Mar 03, 2014, 05:09 PM | |
| NEWS | NewStar Financial, Inc. | BROWN THOMAS K | 10% Owner | Aug 30, 2013 | Buy | $13.11 | 5,000 | 65,571 | 4,941,011 | Sep 03, 2013, 03:36 PM | |
| NEWS | NewStar Financial, Inc. | SECOND CURVE CAPITAL LLC | 10% Owner | Aug 15, 2013 | Buy | $14.06 | 3,000 | 42,180 | 4,936,011 | Aug 16, 2013, 11:09 AM | |
| NEWS | NewStar Financial, Inc. | Schmidt-Fellner Peter A | Chief Investment Officer | May 19, 2013 | Option Exercise | $12.08 | 151,722 | 1,832,802 | 835,267 | May 21, 2013, 05:01 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | May 19, 2013 | Option Exercise | $12.08 | 94,035 | 1,135,943 | 344,576 | May 21, 2013, 05:00 PM | |
| NEWS | NewStar Financial, Inc. | Dobies David R | M. Dir. & Head Mid Mkt. Corp. | May 19, 2013 | Option Exercise | $12.08 | 80,695 | 974,796 | 362,958 | May 21, 2013, 05:00 PM | |
| NEWS | NewStar Financial, Inc. | Clemmens Robert T | Chief Credit Officer | May 19, 2013 | Option Exercise | $12.08 | 112,843 | 1,363,143 | 363,472 | May 21, 2013, 05:00 PM | |
| NEWS | NewStar Financial, Inc. | Bray John Kirby | Chief Financial Officer | May 19, 2013 | Option Exercise | $12.08 | 132,849 | 1,604,816 | 344,816 | May 21, 2013, 04:59 PM | |
| NEWS | NewStar Financial, Inc. | Conway Timothy J | Chairman, CEO and President | May 19, 2013 | Option Exercise | $12.08 | 172,871 | 2,088,282 | 1,141,916 | May 21, 2013, 04:59 PM | |
| NEWS | NewStar Financial, Inc. | McAuliffe Patrick F | Co-Head, Leveraged Finance | Feb 17, 2013 | Option Exercise | $13.97 | 783 | 10,939 | 93,011 | Feb 20, 2013, 04:28 PM | |
| NEWS | NewStar Financial, Inc. | OHARA MAUREEN | Director | Dec 26, 2012 | Option Exercise | $4.28 | 29,687 | 126,997 | 72,989 | Dec 28, 2012, 04:14 PM | |
| NEWS | NewStar Financial, Inc. | Frishkopf John J | Treasurer, Assistant Secretary | Dec 11, 2012 | Option Exercise | $12.50 | 27,313 | 341,413 | 445,661 | Dec 13, 2012, 04:17 PM | |
| NEWS | NewStar Financial, Inc. | Dobies David R | M. Dir. & Head Mid Mkt. Corp. | Dec 11, 2012 | Option Exercise | $12.50 | 26,713 | 333,913 | 443,653 | Dec 13, 2012, 04:16 PM | |
| NEWS | NewStar Financial, Inc. | Conway Timothy J | Chairman, CEO and President | Dec 11, 2012 | Option Exercise | $12.50 | 50,588 | 632,350 | 1,314,787 | Dec 13, 2012, 04:15 PM | |
| NEWS | NewStar Financial, Inc. | Bray John Kirby | Chief Financial Officer | Dec 11, 2012 | Option Exercise | $12.50 | 28,113 | 351,413 | 477,665 | Dec 13, 2012, 04:14 PM | |
| NEWS | NewStar Financial, Inc. | Schmidt-Fellner Peter A | Chief Investment Officer | Dec 11, 2012 | Option Exercise | $12.50 | 39,050 | 488,125 | 986,989 | Dec 13, 2012, 04:13 PM | |
| NEWS | NewStar Financial, Inc. | McAuliffe Patrick F | Co-Head, Leveraged Finance | Dec 11, 2012 | Option Exercise | $12.50 | 1,573 | 19,663 | 93,794 | Dec 13, 2012, 04:13 PM | |
| NEWS | NewStar Financial, Inc. | Clemmens Robert T | Chief Credit Officer | Dec 11, 2012 | Option Exercise | $12.50 | 27,688 | 346,100 | 476,315 | Dec 13, 2012, 04:12 PM | |
| NEWS | NewStar Financial, Inc. | THORNBURGH RICHARD E | Director | Nov 20, 2012 | Option Exercise | $6.26 | 50,000 | 312,900 | 103,802 | Nov 20, 2012, 04:36 PM | |
| NEWS | NewStar Financial, Inc. | OHARA MAUREEN | Director | Aug 16, 2011 | Buy | $8.68 | 1,000 | 8,680 | 34,445 | Aug 17, 2011, 05:27 PM | |
| NEWS | NewStar Financial, Inc. | Schmidt-Fellner Peter A | Chief Investment Officer | Feb 20, 2011 | Option Exercise | $10.20 | 9,110 | 92,922 | 1,050,805 | Feb 23, 2011, 04:21 PM | |
| NEWS | NewStar Financial, Inc. | Clemmens Robert T | Chief Credit Officer | Feb 20, 2011 | Option Exercise | $10.20 | 8,151 | 83,140 | 511,169 | Feb 23, 2011, 04:20 PM | |
| NEWS | NewStar Financial, Inc. | Dobies David R | M.Dir. & Head Mid Mkt. Corp | Feb 20, 2011 | Option Exercise | $10.20 | 7,744 | 78,989 | 477,601 | Feb 23, 2011, 04:20 PM | |
| NEWS | NewStar Financial, Inc. | Conway Timothy J | Chairman, CEO and President | Feb 20, 2011 | Option Exercise | $10.20 | 12,035 | 122,757 | 1,402,867 | Feb 23, 2011, 04:19 PM | |
| NEWS | NewStar Financial, Inc. | Bray John Kirby | Chief Financial Officer | Feb 20, 2011 | Option Exercise | $10.20 | 8,229 | 83,936 | 513,013 | Feb 23, 2011, 04:18 PM |
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