401k Plan data: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST plan

NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 401k Plan overview

Plan Name	NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST
Plan identification number	001

NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

NEWSTAR FINANCIAL, INC. has sponsored the creation of one or more 401k plans.

Company Name: NEWSTAR FINANCIAL, INC.

Employer identification number (EIN): 542157878

NAIC Classification: 522298
NAIC Description: All Other Nondepository Credit Intermediation

Additional information about NEWSTAR FINANCIAL, INC.

Jurisdiction of Incorporation: Washington Secretary of State Corporations Division

Incorporation Date: 2002-01-17

Company Identification Number: 602174783

More information about NEWSTAR FINANCIAL, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 MELANIE DOW
001 2017-01-01 MELANIE DOW
001 2016-01-01 JENNIFER MULDOON
001 2015-01-01 JENNIFER MULDOON
001 2014-01-01 JENNIFER H MULDOON
001 2013-01-01 JENNIFER MULDOON
001 2012-01-01 JENNIFER MULDOON
001 2011-01-01 DAN CROWLEY
001 2009-01-01 DAN CROWLEY
001 2009-01-01 NEWSTAR FINANCIAL INC

Plan id#	Filing Submission Date	Name of Administrator
001	2018-01-01	MELANIE DOW
001	2017-01-01	MELANIE DOW
001	2016-01-01	JENNIFER MULDOON
001	2015-01-01	JENNIFER MULDOON
001	2014-01-01	JENNIFER H MULDOON
001	2013-01-01	JENNIFER MULDOON
001	2012-01-01	JENNIFER MULDOON
001	2011-01-01	DAN CROWLEY
001	2009-01-01	DAN CROWLEY
001	2009-01-01	NEWSTAR FINANCIAL INC

Plan Statistics for NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST

401k plan membership statisitcs for NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST

Measure Date Value
2018: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2018 401k membership
Total participants, beginning-of-year 2018-01-01 105
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2017 401k membership
Total participants, beginning-of-year 2017-01-01 122
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 6
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 99
Total of all active and inactive participants 2017-01-01 105
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 105
Number of participants with account balances 2017-01-01 105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year 2016-01-01 153
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 68
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 54
Total of all active and inactive participants 2016-01-01 122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 122
Number of participants with account balances 2016-01-01 120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year 2015-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 121
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 32
Total of all active and inactive participants 2015-01-01 153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 153
Number of participants with account balances 2015-01-01 143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 98
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 28
Total of all active and inactive participants 2014-01-01 126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 126
Number of participants with account balances 2014-01-01 121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 123
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 101
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 25
Total of all active and inactive participants 2013-01-01 126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 126
Number of participants with account balances 2013-01-01 120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 112
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 103
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 20
Total of all active and inactive participants 2012-01-01 123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 123
Number of participants with account balances 2012-01-01 111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 107
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 89
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 23
Total of all active and inactive participants 2011-01-01 112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 112
Number of participants with account balances 2011-01-01 108
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 120
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 62
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 44
Total of all active and inactive participants 2009-01-01 106
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 106
Number of participants with account balances 2009-01-01 105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2018: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2018 401k membership
Total participants, beginning-of-year	2018-01-01	105
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2017 401k membership
Total participants, beginning-of-year	2017-01-01	122
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	6
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	99
Total of all active and inactive participants	2017-01-01	105
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	105
Number of participants with account balances	2017-01-01	105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year	2016-01-01	153
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	68
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	54
Total of all active and inactive participants	2016-01-01	122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	122
Number of participants with account balances	2016-01-01	120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year	2015-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	121
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	32
Total of all active and inactive participants	2015-01-01	153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	153
Number of participants with account balances	2015-01-01	143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	98
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	28
Total of all active and inactive participants	2014-01-01	126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	126
Number of participants with account balances	2014-01-01	121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	123
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	101
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	25
Total of all active and inactive participants	2013-01-01	126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	126
Number of participants with account balances	2013-01-01	120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	112
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	103
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	20
Total of all active and inactive participants	2012-01-01	123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	123
Number of participants with account balances	2012-01-01	111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	107
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	89
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	23
Total of all active and inactive participants	2011-01-01	112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	112
Number of participants with account balances	2011-01-01	108
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	120
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	62
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	44
Total of all active and inactive participants	2009-01-01	106
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	106
Number of participants with account balances	2009-01-01	105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST

Measure	Date	Value
2018 : NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-05-31	$0
Total transfer of assets to this plan	2018-05-31	$0
Total transfer of assets from this plan	2018-05-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-05-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-05-31	$0
Total income from all sources (including contributions)	2018-05-31	$376,134
Total loss/gain on sale of assets	2018-05-31	$0
Total of all expenses incurred	2018-05-31	$17,044,450
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-05-31	$17,038,717
Expenses. Certain deemed distributions of participant loans	2018-05-31	$56
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-05-31	$0
Value of total assets at end of year	2018-05-31	$0
Value of total assets at beginning of year	2018-05-31	$16,668,316
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-05-31	$5,677
Total interest from all sources	2018-05-31	$77
Total dividends received (eg from common stock, registered investment company shares)	2018-05-31	$6,015
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-05-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2018-05-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2018-05-31	$6,015
Was this plan covered by a fidelity bond	2018-05-31	Yes
Value of fidelity bond cover	2018-05-31	$500,000
If this is an individual account plan, was there a blackout period	2018-05-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-05-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-05-31	No
Participant contributions at beginning of year	2018-05-31	$66,862
Administrative expenses (other) incurred	2018-05-31	$5,677
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-05-31	No
Value of net income/loss	2018-05-31	$-16,668,316
Value of net assets at end of year (total assets less liabilities)	2018-05-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-05-31	$16,668,316
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-05-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-05-31	No
Were any leases to which the plan was party in default or uncollectible	2018-05-31	No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-05-31	$16,601,454
Interest on participant loans	2018-05-31	$77
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-05-31	$370,042
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-05-31	No
Was there a failure to transmit to the plan any participant contributions	2018-05-31	No
Has the plan failed to provide any benefit when due under the plan	2018-05-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-05-31	$17,038,717
Did the plan have assets held for investment	2018-05-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-05-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-05-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-05-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-05-31	Disclaimer
Accountancy firm name	2018-05-31	RSM US LLP
Accountancy firm EIN	2018-05-31	420714325
2017 : NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets to this plan	2017-12-31	$0
Total transfer of assets from this plan	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$3,912,963
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$2,251,377
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$2,248,802
Expenses. Certain deemed distributions of participant loans	2017-12-31	$780
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,402,828
Value of total assets at end of year	2017-12-31	$16,668,316
Value of total assets at beginning of year	2017-12-31	$15,006,730
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$1,795
Total interest from all sources	2017-12-31	$3,663
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$595,937
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$595,937
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$840,301
Participant contributions at end of year	2017-12-31	$66,862
Participant contributions at beginning of year	2017-12-31	$75,057
Administrative expenses (other) incurred	2017-12-31	$1,795
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,661,586
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$16,668,316
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$15,006,730
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$16,601,454
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$14,931,673
Interest on participant loans	2017-12-31	$3,663
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$1,910,535
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$562,527
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$2,248,802
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
2016 : NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$3,458,897
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$4,027,074
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$3,992,229
Expenses. Certain deemed distributions of participant loans	2016-12-31	$32,520
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,999,791
Value of total assets at end of year	2016-12-31	$15,006,730
Value of total assets at beginning of year	2016-12-31	$15,574,907
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$2,325
Total interest from all sources	2016-12-31	$3,764
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$407,864
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$407,864
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,189,244
Participant contributions at end of year	2016-12-31	$75,057
Participant contributions at beginning of year	2016-12-31	$155,674
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$50,475
Administrative expenses (other) incurred	2016-12-31	$2,325
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-568,177
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$15,006,730
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$15,574,907
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$14,931,673
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$15,419,233
Interest on participant loans	2016-12-31	$3,764
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,047,478
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$760,072
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$3,992,229
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	RSM US LLP
Accountancy firm EIN	2016-12-31	420714325
2015 : NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$1,996,729
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,136,007
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,133,812
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,403,830
Value of total assets at end of year	2015-12-31	$15,574,907
Value of total assets at beginning of year	2015-12-31	$14,714,185
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$2,195
Total interest from all sources	2015-12-31	$2,744
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$705,190
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$705,190
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,235,814
Participant contributions at end of year	2015-12-31	$155,674
Participant contributions at beginning of year	2015-12-31	$80,284
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$364,421
Other income not declared elsewhere	2015-12-31	$1
Administrative expenses (other) incurred	2015-12-31	$2,195
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$860,722
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$15,574,907
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$14,714,185
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$15,419,233
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$14,633,901
Interest on participant loans	2015-12-31	$2,744
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,115,036
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$803,595
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,133,812
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	RSM US, LLP
Accountancy firm EIN	2015-12-31	420714325
2014 : NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$2,754,135
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,162,740
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,154,937
Value of total corrective distributions	2014-12-31	$6,028
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,917,180
Value of total assets at end of year	2014-12-31	$14,714,185
Value of total assets at beginning of year	2014-12-31	$13,122,790
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$1,775
Total interest from all sources	2014-12-31	$2,901
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$696,325
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$696,325
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,138,388
Participant contributions at end of year	2014-12-31	$80,284
Participant contributions at beginning of year	2014-12-31	$88,977
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$32,667
Administrative expenses (other) incurred	2014-12-31	$1,775
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,591,395
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$14,714,185
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$13,122,790
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$14,633,901
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$13,033,813
Interest on participant loans	2014-12-31	$2,901
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$137,729
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$746,125
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,154,937
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	MCGLADREY, LLP
Accountancy firm EIN	2014-12-31	420714325
2013 : NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,287,966
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$890,233
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$888,533
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,062,971
Value of total assets at end of year	2013-12-31	$13,122,790
Value of total assets at beginning of year	2013-12-31	$9,725,057
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,700
Total interest from all sources	2013-12-31	$3,250
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$398,441
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$398,441
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,133,838
Participant contributions at end of year	2013-12-31	$88,977
Participant contributions at beginning of year	2013-12-31	$77,285
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$175,040
Administrative expenses (other) incurred	2013-12-31	$1,700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$3,397,733
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$13,122,790
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$9,725,057
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$13,033,813
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$9,647,772
Interest on participant loans	2013-12-31	$3,250
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,823,304
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$754,093
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$888,533
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	MCGLADREY, LLP
Accountancy firm EIN	2013-12-31	420714325
2012 : NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$2,750,632
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$775,879
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$774,323
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,710,779
Value of total assets at end of year	2012-12-31	$9,725,057
Value of total assets at beginning of year	2012-12-31	$7,750,304
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,556
Total interest from all sources	2012-12-31	$2,420
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$202,087
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$202,087
Administrative expenses professional fees incurred	2012-12-31	$956
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$911,157
Participant contributions at end of year	2012-12-31	$77,285
Participant contributions at beginning of year	2012-12-31	$48,374
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$154,859
Administrative expenses (other) incurred	2012-12-31	$600
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,974,753
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$9,725,057
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$7,750,304
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$9,647,772
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$7,701,930
Interest on participant loans	2012-12-31	$2,420
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$835,346
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$644,763
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$774,323
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	Yes
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	MCGLADREY LLP
Accountancy firm EIN	2012-12-31	420714325
2011 : NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$1,302,574
Total of all expenses incurred	2011-12-31	$718,905
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$717,210
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,622,785
Value of total assets at end of year	2011-12-31	$7,750,304
Value of total assets at beginning of year	2011-12-31	$7,166,635
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,695
Total interest from all sources	2011-12-31	$1,094
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$149,349
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$149,349
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$882,497
Participant contributions at end of year	2011-12-31	$48,374
Participant contributions at beginning of year	2011-12-31	$15,479
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$108,336
Administrative expenses (other) incurred	2011-12-31	$1,695
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$583,669
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$7,750,304
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$7,166,635
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$7,068,130
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$6,701,895
Interest on participant loans	2011-12-31	$1,094
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$633,800
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$449,261
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$449,261
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-470,654
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$631,952
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$717,210
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	MCGLADREY LLP
Accountancy firm EIN	2011-12-31	420714325
2010 : NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,145,104
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$878,684
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$851,839
Expenses. Certain deemed distributions of participant loans	2010-12-31	$24,435
Value of total corrective distributions	2010-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,401,127
Value of total assets at end of year	2010-12-31	$7,166,635
Value of total assets at beginning of year	2010-12-31	$5,900,215
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$2,410
Total interest from all sources	2010-12-31	$447
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$106,779
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$106,779
Assets. Real estate other than employer real property at beginning of year	2010-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2010-12-31	$0
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$653,076
Participant contributions at end of year	2010-12-31	$15,479
Participant contributions at beginning of year	2010-12-31	$27,379
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$280,049
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$0
Administrative expenses (other) incurred	2010-12-31	$800
Liabilities. Value of operating payables at beginning of year	2010-12-31	$0
Total non interest bearing cash at beginning of year	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$1,266,420
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$7,166,635
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$5,900,215
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Assets. partnership/joint venture interests at beginning of year	2010-12-31	$0
Investment advisory and management fees	2010-12-31	$650
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$6,701,895
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$5,313,981
Interest on participant loans	2010-12-31	$404
Value of interest in master investment trust accounts at end of year	2010-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$0
Value of interest in common/collective trusts at end of year	2010-12-31	$0
Value of interest in common/collective trusts at beginning of year	2010-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$449,261
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$558,855
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$558,855
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$43
Assets. Value of investments in 103.12 investment entities at end of year	2010-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2010-12-31	$0
Asset value of US Government securities at beginning of year	2010-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$636,751
Net investment gain/loss from pooled separate accounts	2010-12-31	$0
Net investment gain or loss from common/collective trusts	2010-12-31	$0
Net gain/loss from 103.12 investment entities	2010-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at beginning of year	2010-12-31	$0
Assets. Value of employer real property at beginning of year	2010-12-31	$0
Contributions received in cash from employer	2010-12-31	$468,002
Employer contributions (assets) at end of year	2010-12-31	$0
Employer contributions (assets) at beginning of year	2010-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$851,839
Asset. Corporate debt instrument preferred debt at beginning of year	2010-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2010-12-31	$0
Contract administrator fees	2010-12-31	$960
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2010-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2010-12-31	$0
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Liabilities. Value of acquisition indebtedness at beginning of year	2010-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	MCGLADREY & PULLEN, LLP
Accountancy firm EIN	2010-12-31	420714325

Form 5500 Responses for NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST

2018: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: NEWSTAR FINANCIAL, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	NEWSTAR FINANCIAL, INC.
Employer identification number (EIN):	542157878
NAIC Classification:	522298
NAIC Description:	All Other Nondepository Credit Intermediation

Jurisdiction of Incorporation:	Washington Secretary of State Corporations Division
Incorporation Date:	2002-01-17
Company Identification Number:	602174783