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NEWS > SEC Filings for NEWS > Form 8-K on 9-May-2013All Recent SEC Filings

Show all filings for NEWSTAR FINANCIAL, INC. | Request a Trial to NEW EDGAR Online Pro



Submission of Matters to a Vote of Security Holders

Item 5.07 Submission of Matters to a Vote of Security Holders.

On May 7, 2013, we held our 2013 Annual Meeting of Stockholders. Only stockholders of record as of the close of business on March 25, 2013 were entitled to vote at the 2013 Annual Meeting. As of March 25, 2013, 49,396,338 shares of common stock were outstanding and entitled to vote at the 2013 Annual Meeting. At the 2013 Annual Meeting, 42,539,777 shares of common stock of the Company were represented, in person or by proxy, constituting a quorum for the meeting.

The following three proposals, each of which are described in detail in our definitive proxy statement filed with the Securities and Exchange Common on April 5, 2013 (the "Proxy") were before the meeting, and received the following votes:

Proposal 1: Election of Eight Directors to Serve until the 2014 Annual Meeting. The following individuals were elected to serve as directors of the Company:

      Name of Director Nominees       For          Withheld       Broker Non-Votes
      Charles N. Bralver            38,157,040       142,344              4,240,393
      Timothy J. Conway             38,259,668        39,716              4,240,393
      Bradley E. Cooper             38,260,857        38,527              4,240,393
      Brian L.P. Fallon             38,157,040       142,344              4,240,393
      Frank R. Noonan               38,157,040       142,344              4,240,393
      Maureen P. O'Hara             38,273,063        26,321              4,240,393
      Peter A. Schmidt-Fellner      38,272,399        26,985              4,240,393
      Richard E. Thornburgh         38,241,795        57,589              4,240,393

Proposal 2: Approve on a Non-Binding, Advisory Basis the Executive Compensation. The stockholders approved, on a non-binding advisory basis, the executive compensation as disclosed in the Proxy.

For Against Abstain Broker Non-Votes 37,931,870 355,518 11,996 4,240,393

Proposal 3: Ratification of the appointment of KPMG LLP as NewStar's Independent Registered Public Accounting Firm for the 2013 Fiscal Year. The stockholders ratified the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2013.

For Against Abstain Broker Non-Votes 42,455,430 84,347 0 0

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