NewStar Financial, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows, 3 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-12-19: Reporting owner OZ MANAGEMENT LLC; Form 4; Security Series A convertible Preferred Stock, par value $0.01; Transaction C Conversion of derivative security.
- 2006-12-19: Reporting owner JP MORGAN CORSAIR II CAPITAL PARTNERS LP; Form 4; Security Series A Convertible Preferred Stock, par value $0.01 per sh; Transaction C Conversion of derivative security.
- 2006-12-13: Reporting owner OZ MANAGEMENT LLC; Form 3; Security Series A Convertible Preferred Stock, par value $0.01/share; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2006-12-19 | OZ MANAGEMENT LLC 10% Owner | 4 | Series A convertible Preferred Stock, par value $0.01 Derivative · Indirect · See Footnotes | C Conversion of derivative security | −11,380,000 0 owned after | no price filed | 2006-12-21 | |
| 2006-12-19 | JP MORGAN CORSAIR II CAPITAL PARTNERS LP 10% Owner | 4 | Series A Convertible Preferred Stock, par value $0.01 per sh Derivative · Direct | C Conversion of derivative security | −6,000,000 0 owned after | no price filed | 2006-12-20 | |
| 2006-12-13 holding as of filing | OZ MANAGEMENT LLC 10% Owner | 3 | Series A Convertible Preferred Stock, par value $0.01/share Derivative · Indirect · See Footnotes | Holding | no price filed | 2006-12-13 |