Document:

4th Amendment to Stockholders' Agreement, dated as of March 26, 2007

 Exhibit 4(a)4 
 NEWSTAR FINANCIAL, INC. 
 FOURTH AMENDMENT TO 
 STOCKHOLDERS AGREEMENT 
 THIS
FOURTH AMENDMENT (this “Amendment”), entered into as of March 26, 2007 to the STOCKHOLDERS AGREEMENT entered into as of June 18, 2004, by and among NEWSTAR FINANCIAL, INC. (f/k/a Novus Capital, Inc.), a Delaware
corporation (the “Corporation”) and the securityholders of the Corporation signatory thereto, as amended by the First Amendment to the Stockholders Agreement, dated August 22, 2005, the Second Amendment to the Stockholders
Agreement, dated June 5, 2006 and the Third Amendment to the Stockholders Agreement, dated December 12, 2006 (collectively, the “Agreement”). Capitalized terms used herein without definition shall have the meanings
assigned thereto in the Agreement. 
 WITNESSETH: 
 WHEREAS, the requisite parties to the Agreement desire to amend the Agreement in accordance with Section 7.03 thereof. 
 NOW THEREFORE, in consideration of the mutual covenants and agreements of the parties hereto, and of the mutual benefits to be gained by the performance thereof, and for other good and valuable consideration, the
receipt and sufficiency of which is hereby acknowledged, the parties for themselves, their heirs, executors, administrators, successors and assigns, do hereby covenant and agree as follows: 
 Section 1 Amendment to Section 5.01(e). Section 5.01(e) is hereby deleted and replaced in its entirety by the following:

 “(e) If a Demand Registration involves a Public Offering and the managing underwriter advises the Company and the Requesting
Stockholders that, in its view, the number of Company Securities that the Registering Stockholders and the Company propose to include in such registration exceeds the largest number of shares that can be sold without having an adverse effect on such
offering, including the price at which such shares can be sold (the “Demand Maximum Offering Size”), the Company shall include in such registration, in the priority listed below, up to the Demand Maximum Offering Size:

 (i) first, all Registrable Securities requested to be registered by the Registering Stockholders (allocated, if necessary for the offering
not to exceed the Demand Maximum Offering Size, pro rata among such entities on the basis of the relative number of Registrable Securities so requested to be included in such registration by each); and 

 (ii) second, all Registrable Securities proposed to be registered by the Company.” 
 Section 2. Miscellaneous. 
 (a)
Except as specifically amended above, the Agreement is and shall continue to be in full force and effect. 
 (b) This Amendment may be
executed in two or more counterparts, each of which shall serve as an original of the party executing the same, but all of which shall constitute but one and the same agreement. 
 (c) All headings set forth in this Amendment are intended for convenience only and shall not control or affect the meaning, construction or effect of
this Amendment or the Agreement or of any of the provisions hereof or thereof. 
 (d) This Amendment shall be deemed to be a contract
governed by the laws of the State of Delaware and shall for all purposes be construed in accordance with the laws of such state, without reference to the conflicts of laws provisions thereof. 
 Section 3. Authorization. This Amendment has been executed by the Company and Investors holding more than sixty-six and two thirds percent
(66 2/3%) of the outstanding Common Stock held by the Investors. 
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 2 

 IN WITNESS WHEREOF, the parties have caused this Fourth Amendment to Stockholders Agreement to be
executed as of the same day and year first above written. 
  

					
	NEWSTAR FINANCIAL, INC.
		
	By:	 	/s/ Timothy J. Conway
		 	Name: 	 	Timothy J. Conway
		 	Title:	 	NewStar Financial Chief Executive Officer
	
	CAPITAL Z. FINANCIAL SERVICES
		 	FUND II, L.P.
		
	By:	 	 Capital Z Partners, L.P., its general
 partner

		
	By:	 	 Capital Z Partners, Ltd., its general
 partner

		
	By:	 	/s/ Craig Fisher
		 	Name: 	 	 Craig Fisher

		 	Title:	 	 General Counsel

	
	CAPITAL Z FINANCIAL SERVICES PRIVATE
		 	FUND II, L.P.
		
	By:	 	 Capital Z Partners, L.P., its general
 partner

		
	By:	 	 Capital Z Partners, Ltd., its general
 partner

		
	By:	 	/s/ Craig Fisher
		 	Name: 	 	 Craig Fisher

		 	Title:	 	 General Counsel

  

 SIGNATURE PAGE TO FOURTH AMENDMENT TO NEWSTAR STOCKHOLDERS AGREEMENT 

					
	J.P. MORGAN CORSAIR II
		 	CAPITAL PARTNERS, L.P.
		
	By:	 	CORSAIR II, L.P., as General Partner
		
	By:	 	CORSAIR II, L.L.C., as General Partner
		
	By:	 	CORSAIR PTJB, as General Partner
		
	By:	 	CORSAIR CAPITAL LLC, as Manager
		
	By:	 	/s/ D.T. Ignacio Jayanti
		 	Name: 	 	D.T. Ignacio Jayanti
		 	Title:	 	President
	
	OZ MASTER FUND, LTD.
		
	By:	 	 OZ Management, L.L.C., its
 investment
manager

		
	By:	 	/s/ Joel M. Frank
		 	Name: 	 	Joel M. Frank
		 	Title:	 	Chief Financial Officer
	
	SHAWMUT EQUITY PARTNERS L.P.
		
	By:	 	 Shawmut Capital Partners, LLC, its
 General
Partner

		
	By:	 	/s/ Daniel K. Doyle
		 	Name: 	 	Daniel K. Doyle
		 	Title:	 	Managing Director
	
	THE NORTHWESTERN MUTUAL
		 	LIFE INSURANCE COMPANY
		
	By:	 	/s/ Daniel A. Barras
		 	Name: 	 	Daniel A. Barras
		 	Title:	 	Its Authorized Representative

  

 SIGNATURE PAGE TO FOURTH AMENDMENT TO NEWSTAR STOCKHOLDERS AGREEMENT 

			
	/s/ J. Daniel Adkinson
	J. Daniel Adkinson
	
	/s/ John Bray
	John Bray
	
	/s/ R. Phillip Burnaman
	R. Phillip Burnaman
	
	/s/ Thomas Calhoun
	Thomas Calhoun
	
	/s/ Robert Clemmens
	Robert Clemmens
	
	/s/ Timothy Conway
	Timothy Conway
	
	/s/ Mark Cordes
	Mark Cordes
	
	/s/ David Dobies
	David Dobies
	
	/s/ John Frishkopf
	John Frishkopf
	
	/s/ James Korinek
	James Korinek
	
	/s/ William Mallon
	William Mallon
	
	/s/ Pat McAuliffe
	Pat McAuliffe
	
	/s/ Greg Pachus
	Greg Pachus
	
	/s/ R. Scott Poirier
	R. Scott Poirier

  

 SIGNATURE PAGE TO FOURTH AMENDMENT TO NEWSTAR STOCKHOLDERS AGREEMENT 

			
	/s/ David Roberts
	 David Roberts

	
	/s/ Peter Schmidt Fellner
	 Peter Schmidt Fellner

	
	/s/ Timothy Shoyer
	 Timothy Shoyer

	
	/s/ Bharath Shrikrishnan
	 Bharath Shrikrishnan

  

 SIGNATURE PAGE TO FOURTH AMENDMENT TO NEWSTAR STOCKHOLDERS AGREEMENTAmendment No. 7 to the Amended and Restated Sale and Servicing Agreement

 Exhibit 10(b)(1)(i) 
 AMENDMENT NO. 7 AND WAIVER TO THE AMENDED AND 
 RESTATED SALE AND SERVICING AGREEMENT 

 (VFCCTransaction with Newstar CP Funding LLC) 
 THIS AMENDMENT NO. 7 AND WAIVER TO THE AMENDED AND RESTATED SALE AND SERVICING AGREEMENT, dated as of June 4, 2007 (this “Amendment”), is entered into in connection with that certain
Amended and Restated Sale and Servicing Agreement, dated as of April 5, 2006 (such agreement as amended, modified, supplemented, waived or restated from time to time, the “Agreement”), by and among NEWSTAR CP FUNDING LLC, a
Delaware limited liability company, as the seller (together with its successors and assigns in such capacity, the “Seller”), NEWSTAR FINANCIAL INC., a Delaware corporation (together with its successors and assigns, the
“Company”), as the originator (together with its successors and assigns in such capacity, the “Originator”), and as the servicer (together with its successors and assigns in such capacity, the
“Servicer”), WACHOVIA BANK, NATIONAL ASSOCIATION, a national banking association (together with its successors and assigns, “Wachovia”), as the swingline purchaser (together with its successors and assigns in such
capacity, the “Swingline Purchaser”), certain conduit purchasers and purchaser agents party thereto (each, together with its successors and assigns in such capacity, a “Conduit Purchaser” and a
“Purchaser” and, collectively with the Swingline Purchaser, the “Purchasers”), WACHOVIA CAPITAL MARKETS, LLC, a Delaware limited liability company (together with its successors and assigns, “WCM”),
as the administrative agent (together with its successors and assigns in such capacity, the “Administrative Agent”), and as the Purchaser Agent with respect to Variable Funding Capital Company LLC as Conduit Purchaser (together with
its successors and assigns in such capacity, the “VFCC Agent”), U.S. BANK NATIONAL ASSOCIATION, a national banking association (together with its successors and assigns, “US Bank”), not in its individual capacity
but as the trustee (together with its successors and assigns in such capacity, the “Trustee”), and LYON FINANCIAL SERVICES, INC., a Minnesota corporation, doing business as U.S. Bank Portfolio Services, not in its individual
capacity but as the backup servicer (together with its successors and assigns in such capacity, the “Backup Servicer”). Capitalized terms used and not otherwise defined herein are used as defined in the Agreement. 
 R E C I T A L S 
 WHEREAS, the parties hereto previously entered into the Agreement; 
 WHEREAS, the parties hereto desire to amend the Agreement in certain respects as provided herein; and 
 WHEREAS, pursuant to and in accordance with Section 13.1 thereof, the Administrative Agent and VFCC Agent, the Swingline Purchaser and the Conduit Purchaser desire to provide for a one-time waiver of certain provisions of the
Agreement in certain respects as provided herein; 

 NOW, THEREFORE, based upon the above Recitals, the mutual premises and agreements contained
herein, and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto, intending to be legally bound, hereby agree as follows: 
 SECTION 1. AMENDMENTS. 
 Notwithstanding the provisions of the definition of “Advance Rate” in the Agreement relating to B-Note Loans, the Advance Rate applicable to the Loan identified on Schedule I hereto will be 60%. 
 SECTION 2. WAIVER. 
 Each of
the Administrative Agent and VFCC Agent, the Swingline Purchaser and the Conduit Purchaser hereby waives the failure of the Loan identified on Schedule I hereto to satisfy clause (c) of Appendix A to the Sale and Servicing Agreement.

 SECTION 3. AGREEMENT IN FULL FORCE AND EFFECT AS AMENDED AND WAIVED. 
 Except as specifically amended and waived hereby, the Agreement shall remain in full force and effect. All references to the Agreement shall be deemed to
mean the Agreement as modified hereby. This Amendment shall not constitute a novation of the Agreement, but shall constitute an amendment and a one-time waiver thereof. The parties hereto agree to be bound by the terms and conditions of the
Agreement, as amended and waived by this Amendment, as though such terms and conditions were set forth herein. 
 SECTION 4.
REPRESENTATIONS AND WARRANTIES. 
 Each of the Originator, the Seller and the Servicer represents and warrants with respect to
itself as of the date of this Amendment as follows: 
 (a) it is duly incorporated or organized, validly existing and in good
standing under the laws of its jurisdiction of incorporation or organization; 
 (b) the execution, delivery and performance
by it of this Amendment are within its powers, have been duly authorized, and do not contravene (A) its charter, by-laws, or other organizational documents, or (B) any Applicable Law; 
 (c) no consent, license, permit, approval or authorization of, or registration, filing or declaration with any governmental authority, is
required in connection with the execution, delivery, performance, validity or enforceability of this Amendment by or against it; 
 (d) this Amendment has been duly executed and delivered by it; 
  

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 (e) this Amendment constitutes its legal, valid and binding obligation enforceable
against it in accordance with its terms, except as enforceability may be limited by applicable bankruptcy, insolvency, reorganization, moratorium or similar laws affecting the enforcement of creditors’ rights generally or by general principles
of equity; 
 (f) it is not in default under the Agreement; and 
 (g) there is no Termination Event, Unmatured Termination Event, or Servicer Default. 
 SECTION 5. CONDITIONS PRECEDENT. 
 This Amendment shall become effective on the date on which each party hereto has delivered an executed signature page hereto to the Administrative Agent. 
 SECTION 6. MISCELLANEOUS. 
 (a) This Amendment may be executed in any number of
counterparts, and by the different parties hereto on the same or separate counterparts, each of which shall be deemed to be an original instrument but all of which together shall constitute one and the same agreement. 
 (b) The descriptive headings of the various sections of this Amendment are inserted for convenience of reference only and shall not be
deemed to affect the meaning or construction of any of the provisions hereof. 
 (c) This Amendment may not be amended or
otherwise modified except as provided in the Agreement. 
 (d) The failure or unenforceability of any provision hereof shall
not affect the other provisions of this Amendment. 
 (e) Whenever the context and construction so require, all words used in
the singular number herein shall be deemed to have been used in the plural, and vice versa, and the masculine gender shall include the feminine and neuter and the neuter shall include the masculine and feminine. 
 (f) This Amendment represents the final agreement between the parties and may not be contradicted by evidence of prior, contemporaneous or
subsequent oral agreements between the parties. There are no unwritten oral agreements between the parties. 
 (g) THIS
AMENDMENT AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES UNDER THIS AMENDMENT SHALL BE GOVERNED BY AND CONSTRUED AND INTERPRETED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK WITHOUT REFERENCE TO ITS CONFLICT OF LAWS PROVISIONS.

  

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 IN WITNESS WHEREOF, the parties have caused this Amendment to be executed by their respective officers
thereunto duly authorized, as of the date first above written. 
  

											
	THE SELLER:	 		 	NEWSTAR CP FUNDING LLC
				
		 		 		 	 By: NewStar Financial, Inc., its Designated
 Manager

					
		 		 		 	By:	 	/s/ John J. Frishkopf
		 		 		 		 	 Name:
 Title:
	 	 John J. Frishkopf
 Managing
Director

			
	 THE ORIGINATOR AND
 SERVICER:

	 		 	NEWSTAR FINANCIAL, INC.
					
		 		 		 	By:	 	/s/ John J. Frishkopf
		 		 		 		 	 Name:
 Title:
	 	 /s/ John J. Frishkopf
 Managing
Director

			
	 THE ADMINISTRATIVE AGENT
 AND THE
VFCC AGENT:
	 		 	WACHOVIA CAPITAL MARKETS, LLC
					
		 		 		 	By:	 	/s/ Brian Smith
		 		 		 		 	 Name:
 Title:
	 	 Brian Smith
 Vice President

			
	THE PURCHASER:	 		 	 VARIABLE FUNDING CAPITAL
 COMPANY
LLC

				
		 		 		 	 By: Wachovia Capital Markets, LLC, as
 attorney-in-fact

					
		 		 		 	By:	 	/s/ Douglas R. Wilson, Sr.
		 		 		 		 	 Name:
 Title:
	 	 Douglas R. Wilson, Sr.
 Director

 [Signatures Continued on the Following Page] 
 Amendment No. 7 and Waiver to Amended and Restated 
 Sale and Servicing Agreement 

											
	THE SWINGLINE PURCHASER:	 		 	 WACHOVIA BANK,
 NATIONAL
ASSOCIATION

					
		 		 		 	By:	 	/s/ Andy Phelps
		 		 		 		 	 Name:
 Title:
	 	 Andy Phelps
 Vice President

 Schedule I to 
 Amendment No. 7 and 
 Waiver dated 
 June 4, 2007 
 List of Assets 
  

				
	 Obligor Name
	  	Principal Balance as of
6/4/07
	 ST Square LLC
	  	$	7,500,000

 Waiver to Amended and Restated 
 Sale and Servicing Agreement NewStar CP Funding LLC

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