Document:

Form of Third Amendment to Stockholders' Agreement

 Exhibit 4.1.4 
 NEWSTAR FINANCIAL, INC. 
 THIRD AMENDMENT TO 
 STOCKHOLDERS AGREEMENT 
 THIS
THIRD AMENDMENT (this “Amendment”), entered into as of December     , 2006 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, and the Second Amendment to
the Stockholders Agreement, dated June 5, 2006 (collectively, the “Agreement”). Capitalized terms used herein without definition shall have the meanings assigned thereto in the Agreement. 
 W I T N E S S E T H: 
 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(a). That certain reference to “twenty percent (20%)” in Section 5.01(a) is hereby amended and replaced with “fourteen percent (14%).” 
 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, Class A Common Stock and Preferred Stock held by the Investors. 
 [Remainder of this page intentionally left blank] 
  

 2 

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

			
	NEWSTAR FINANCIAL, INC.
		
	By:	 	  

	Name:	 	
	Title:	 	
	
	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:	 	  

	Name:	 	
	Title:	 	
	
	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:	 	  

	Name:	 	
	Title:	 	

			
	J.P. MORGAN CAPITAL, L.P.
		
	By:	 	J.P. Morgan Capital Management Company, L.P., as General Partner
		
	By:	 	J.P. Morgan Capital Management Company, L.L.C., as General Partner
		
	By:	 	J.P. Morgan Investment Partners, L.P.,
		 	as Sole Member
		
	By:	 	J.P. Morgan Capital Corporation,
		 	as General Partner
		
	By:	 	  

	Name:	 	
	Title:	 	
	
	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:	 	  

	Name:	 	
	Title:	 	

 SIGNATURE PAGE TO THIRD AMENDMENT TO NEWSTAR STOCKHOLDERS AGREEMENT 

			
	OZ MASTER FUND, LTD.
		
	By:	 	OZ Management, L.L.C.,
		 	its investment manager
		
	By:	 	  

	Name:	 	
	Title:	 	
	
	SHAWMUT EQUITY PARTNERS L.P.
		
	By:	 	Shawmut Capital Partners, LLC,
		 	its General Partner
		
	By:	 	  

	Name:	 	
	Title:	 	
	
	THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY
		
	By:	 	  

	Name:	 	
	Title:	 	

 SIGNATURE PAGE TO THIRD AMENDMENT TO NEWSTAR STOCKHOLDERS AGREEMENTForm of First Amendment to Restricted Stock Agreement

 Exhibit 10.4.1.1 
 NEWSTAR FINANCIAL, INC. 
 FIRST AMENDMENT TO 
 RESTRICTED STOCK AGREEMENT 
 Each of the undersigned is a party to an individual Restricted Stock Agreement with NewStar Financial, Inc. (f/k/a Novus Capital, Inc.), a Delaware corporation (the “Company”), dated on either June 17,
2004, July 22, 2004, Feb 10, 2005 or August 22, 2005, (collectively, the “Agreement”). This FIRST AMENDMENT to the Agreement is entered in to as of December     , 2006 (the
“Amendment”). Capitalized terms used herein without definition shall have the meanings assigned thereto in the Agreement. 
 W I T N E S S E T H: 
 WHEREAS, the requisite parties to the Agreement desire to amend the Agreement in accordance with
Section 17 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 1. That certain reference to “Conversion
Ratio” and that certain reference to “IPO Price” in Section 1 of the Agreement are hereby deleted and replaced in their entirety as follows: 
 “Conversion Ratio” shall be 2.2760 per share of Common Stock. 
 “IPO Price” shall
be $16.00 per share of Common Stock. 
 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 Management Members holding at least
sixty-six and two thirds percent (66  2/3%) of the outstanding Class A Common Stock held by Management
Members. 

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

			
	COMPANY:
	
	NEWSTAR FINANCIAL, INC.
		
	By:	 	  

	Name:	 	  

	Title:	 	  

 SIGNATURE PAGE TO FIRST AMENDMENT TO THE RESTRICTED STOCK AGREEMENT 

	
	MANAGEMENT MEMBERS:
	
	  

	Name: J. Daniel Adkinson
	
	  

	Name: John Bray
	
	  

	Name: R. Phillip Burnaman
	
	  

	Name: Thomas Calhoun
	
	  

	Name: Robert Clemmens
	
	  

	Name: Timothy Conway
	
	  

	Name: Mark Cordes
	
	  

	Name: David Dobies
	
	  

	Name: John Frishkopf

 SIGNATURE PAGE TO FIRST AMENDMENT TO THE RESTRICTED STOCK AGREEMENT 

	
	  

	Name: James Korinek
	
	  

	Name: William Mallon
	
	  

	Name: Pat McAuliffe
	
	  

	Name: Greg Pachus
	
	  

	Name: R. Scott Poirier
	
	  

	Name: David Roberts
	
	  

	Name: Peter Schmidt Fellner
	
	  

	Name: Timothy Shoyer
	
	  

	Name: Bharath Shrikrishnan

 SIGNATURE PAGE TO FIRST AMENDMENT TO THE RESTRICTED STOCK AGREEMENTAmendment No. 1 to the Amended and Restated Sale and Servicing Agreement

 Exhibit 10.7.2 
 EXECUTION VERSION 
 AMENDMENT NO. 1 TO THE AMENDED AND 
 RESTATED SALE AND SERVICING AGREEMENT 
 THIS AMENDMENT NO. 1 TO THE AMENDED AND RESTATED SALE AND SERVICING AGREEMENT, dated as of June 7, 2006 (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 successor and assigns, “Wachovia”), as the swingline purchaser (together with its successor 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 successor and assigns, “WCM”), as the administrative agent (together with its successor 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 successor and assigns in such capacity, the “VFCC
Agent”), U.S. BANK NATIONAL ASSOCIATION, a national banking association (together with its successor and assigns, “US Bank”), not in its individual capacity but as the trustee (together with its successor 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 successor and
assigns in such capacity, the “Backup Servicer”). Capitalized terms used and not otherwise defined herein are used as defined in the Agreement. 
 RECITALS 
 WHEREAS, the above-named parties have entered into the Agreement, and, pursuant to
and in accordance with Section 13.1 thereof, the Seller, the Servicer, the Administrative Agent and each of the Purchasers desire to amend 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. 
 (a) The definition of “Concentration Limits” in
Section 1.1 of the Agreement is hereby amended by amending and restating clauses (b) and (q) thereof in their entirety as follows: 

 “(b) the sum of the Principal Balances of Eligible Assets that are Loans to a single
Obligor (including any Affiliates thereof) shall not exceed $25,000,000;” 
 “(q) the sum of the Principal Balances
of Eligible Assets that are Revolving Loans (including Senior Secured ABLs) shall not exceed the greater of (i) 25% of the Facility Amount and (ii) $40,000,000, and Senior Secured ABLs are further limited as set forth in clause (e);”

 (b) The definition of “Eligible Asset” in Section 1.1 of the Agreement is hereby amended by adding the following phrase
after clause (y) thereof: 
 “Notwithstanding the foregoing, the Administrative Agent shall have the right to
determine, in its sole discretion, whether each of the first three Assets acquired by the Borrower immediately following a Term Securitization is an Eligible Asset; provided that, in the event that the aggregate Principal Balance of such
Assets is less than $25,000,000, the Administrative Agent shall retain such right until the aggregate Principal Balance of all Assets determined to be Eligible Assets equals or exceeds $25,000,000.” 
 (c) Section 1.1 of the Agreement is hereby amended by deleting the definition of “Large Obligor Coverage Amount” in its entirety; and

 (d) The definition of “Maximum Availability” in Section 1.1 of the Agreement is hereby amended and restated in its entirety
as follows: 
 “Maximum Availability”: At any time, an amount equal to the sum of (i) the product of the
Borrowing Base and the Weighted Average Advance Rate, plus (ii) the amount on deposit in the Principal Collections Account received in reduction of the Principal Balance of any Asset; provided that during the Amortization Period,
the Maximum Availability shall be equal to the Advances Outstanding. 
 SECTION 2. Agreement in Full Force and Effect as
Amended. Except as specifically amended 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 thereof. The parties hereto agree to be bound by the terms and conditions of the Agreement, as amended by this Amendment, as though such terms and conditions were set forth herein. 
 SECTION 3. Conditions Precedent. 
 The effectiveness of this Amendment is subject to the due execution of this Amendment by each of the parties hereto. 
  

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 SECTION 4. 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. 
  

 - 3 - 

 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: John J. Frishkopf

		 		 		 		 	 Title: Managing Director

			
	THE SERVICER:	 		 	NEWSTAR FINANCIAL, INC.
					
		 		 		 	 By:
	 	 /s/ John J. Frishkopf

		 		 		 		 	 Name: John J. Frishkopf

		 		 		 		 	 Title: Managing Director

			
	THE ADMINISTRATIVE AGENT:	 		 	WACHOVIA CAPITAL MARKETS, LLC
					
		 		 		 	 By:
	 	 /s/ Michael Romanzo

		 		 		 		 	 Name: Michael Romanzo CFA

		 		 		 		 	 Title: 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: Douglas R. Wilson, Sr.

		 		 		 		 	 Title: Vice President

 [Signatures Continued on the Following Page] 
 Amendment No. 1 to SSA 

									
	THE SWINGLINE PURCHASER:	 		 	WACHOVIA BANK, NATIONAL ASSOCIATION
				
		 		 	 By:
	 	 /s/ Raj Shah

		 		 		 		 	Name: Raj Shah
		 		 		 		 	 Title: Managing Director

 Amendment No. 1 to Amended and Restated SSA

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