-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RfDC5u5S0LO6/CfzF4ZXcuigaFOAGRugmTXVaCBulgxhDP6SoI2h3nxfhhv2cD8U jL1ER/a1YdVr4k4z1zxHOQ== 0001408979-10-000007.txt : 20101006 0001408979-10-000007.hdr.sgml : 20101006 20101006164539 ACCESSION NUMBER: 0001408979-10-000007 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20101006 DATE AS OF CHANGE: 20101006 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORIARTY TIMOTHY E CENTRAL INDEX KEY: 0001408979 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: C/O MCGRATH, DOYLE & PHAIR STREET 2: 150 BROADWAY - SUITE 915 CITY: NEW YORK STATE: NY ZIP: 10038 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NewStar Financial, Inc. CENTRAL INDEX KEY: 0001373561 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE LESSORS [6172] IRS NUMBER: 542157878 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-82274 FILM NUMBER: 101112132 BUSINESS ADDRESS: STREET 1: 500 BOYLSTON STREET STREET 2: SUITE 1600 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-848-2500 MAIL ADDRESS: STREET 1: 500 BOYLSTON STREET STREET 2: SUITE 1600 CITY: BOSTON STATE: MA ZIP: 02116 SC 13D/A 1 newstar100710.txt SCHEDULE 13D AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 NEWSTAR FINANCIAL INC (Name of Issuer) COMMON (Title of Class of Securities) 65251F105 (CUSIP Number) TIMOTHY E. MORIARTY, c/o McGrath, Doyle & Phair 150 BROADWAY - SUITE 1915 NEW YORK, NY 10038 TEL: 212-571-2300 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 8 2010 (Date of Event which Requires Filing of this Statement) 1 Names of Reporting Persons. IRS Identification Nos. of above persons (entities only) TIMOTHY E. MORIARTY 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) X (b) 3 SEC Use Only 4 Source of Funds (See Instructions) PF 5 Ck if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d)or 2(e) N/A 6 Citizenship or Place of Organization USA Number of Shares Beneficially Owned by Each Reporting Person with 7 Sole Voting Power 3,637,234 SHARES 8 Shared Voting Power 9 Sole Dispositive Power 3,637,234 SHARES 10 Shared Dispositive Power 11 Aggregate Amount Beneficially Owned by Each Reporting Person= 3,637,234 shs 12 Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) N/A 13 Percent of Class Represented by Amount in Row (11) 7.0722 % 14 Type of Reporting Person (See Instructions) IN SPECIAL INSTRUCTIONS FOR COMPLYING WITH SCHEDULE 13D Item 1 Security and Issuer NEWSTAR FINANCIAL INC 500 BOYLSTON STREET SUITE 1600 BOSTON, MA 02116 Class of Securities = common Item 2 Identity and Background (a) N/A (b) N/A c N/A (d) N/A (e) N/A (f) N/A Item 3 Source and Amount of Funds or Other Consideration PERSONAL FUNDS Item 4 Purpose of Transaction MATERIAL ACQUISITION FOR INVESTMENT PURPOSES Item 5 Interest in Securities of the Issuer (a) 3,637,234 SHARES 7.0722 PERCENT OF CLASS (b) 3,637,234 SHARES c N/A (d) N/A (e) N/A Item 6 Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer = N/A Item 7 Material to Be Filed as Exhibits N/A Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date 10/06/2010 Signature TIMOTHY E MORIARTY Name/Title TIMOTHY E MORIARTY -----END PRIVACY-ENHANCED MESSAGE-----