Document:

EX-10.(b)(1)(u)

 Exhibit 10(b)(1)(u) 

EXECUTION COPY 
 FIRST
AMENDMENT TO 
 FIFTH AMENDED AND RESTATED LOAN AND SERVICING AGREEMENT 

(NewStar CP Funding LLC) 

THIS FIRST AMENDMENT TO FIFTH AMENDED AND RESTATED LOAN AND SERVICING AGREEMENT, dated as of April 16, 2013 (this
“Amendment”), is entered into by and among NEWSTAR CP FUNDING LLC, as the Borrower (the “Borrower”), NEWSTAR FINANCIAL, INC., as the Originator and the Servicer, the Lenders identified on the signature pages hereto
and WELLS FARGO SECURITIES, LLC, as the Administrative Agent (in such capacity, the “Administrative Agent”). 

R E C I T A L S 

WHEREAS, the above-named parties have entered into that certain Fifth Amended and Restated Loan and Servicing Agreement, dated as of
November 5, 2012 (the “Agreement”), by and among the Borrower, the Originator, the Servicer, each of the Conduit Lenders and Institutional Lenders from time to time party thereto, each of the Lender Agents from time to time
party thereto, the Administrative Agent and U.S. Bank National Association, as the Trustee; 
 WHEREAS, pursuant to and in accordance with
Section 13.1 of the Agreement, the parties hereto desire to amend 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 undersigned, intending to be legally bound,
hereby agree as follows: 
 SECTION 1. Definitions. 

Each capitalized term used but not defined herein has the meaning ascribed thereto in the Agreement. 

SECTION 2. Amendments. 
 2.1
Clause (b) of the definition of “Change-in-Control” in Section 1.1 of the Loan and Servicing Agreement is hereby amended and restated in its entirety to read as follows: 

“(b) the creation or imposition of any Lien on any limited liability company membership interest in the Borrower; other
than a pledge by NewStar Financial, Inc. of the limited liability company membership interests in the Borrower to Fortress Credit Corp., as administrative agent under any credit facility, pursuant to a pledge agreement approved by the Administrative
Agent; or” 
 2.2 The definition of “Fortress Notes” in Section 1.1 of the Loan and Servicing Agreement is hereby
deleted in its entirety. 

 2.3 Clause (xxi) of Section 4.1(u) of the Loan and Servicing Agreement is hereby
amended and restated in its entirety to read as follows: 
 “(xx) permit any transfer (whether in any one or more
transactions) of any direct ownership interest in the Borrower to the extent it has the ability to control the same, other than a pledge by NewStar Financial, Inc. of the limited liability company membership interests in the Borrower to Fortress
Credit Corp., as administrative agent under any credit facility, pursuant to a pledge agreement approved by the Administrative Agent, unless the Borrower delivers to the Administrative Agent and each Lender an acceptable non-consolidation opinion
and the Administrative Agent consents to such transfer;” 
 SECTION 3. Agreement in Full Force and Effect as Amended. 

Except as specifically amended hereby, all provisions of the Agreement shall remain in full force and effect. This Amendment shall not be
deemed to expressly or impliedly waive, amend or supplement any provision of the Agreement other than as expressly set forth herein and shall not constitute a novation of the Agreement. 

SECTION 4. Representations and Warranties. 

The Borrower hereby represents and warrants as of the date of this Amendment as follows: 

(a) this Amendment has been duly executed and delivered by it; 

(b) 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; and 

(c) there is no Termination Event, Unmatured Termination Event, or Servicer Default that is continuing or would result from entering into this
Amendment. 
 SECTION 5. Conditions to Effectiveness. 

The effectiveness of this Amendment is subject to receipt by the Administrative Agent of executed counterparts (or other evidence of execution,
including facsimile signatures, satisfactory to the Administrative Agent) of this Amendment. 
 SECTION 6. Miscellaneous. 

(a) This Amendment may be executed in any number of counterparts (including by facsimile), 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. 

  
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 (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 only with respect to the subject matter expressly covered hereby 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. 
 [Remainder of Page Intentionally Left Blank] 

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

							
	BORROWER:	 		 	NEWSTAR CP FUNDING LLC
			
		 		 	By: NewStar Financial, Inc., its Designated Manager
				
		 		 	By:	 	 /s/ MICHAEL EISENSTEIN

		 		 	Name:	 	Michael Eisenstein
		 		 	Title:	 	Managing Director
			
	THE ORIGINATOR AND SERVICER:	 		 	NEWSTAR FINANCIAL, INC.
				
		 		 	By:	 	 /s/ MICHAEL EISENSTEIN

		 		 	Name:	 	Michael Eisenstein
		 		 	Title:	 	Managing Director

 [Signatures Continue on the Following Page] 

  
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	ADMINISTRATIVE AGENT:	 		 	WELLS FARGO SECURITIES, LLC
				
		 		 	By:	 	 /s/ MATT JENSEN

		 		 	Name:	 	Matt Jensen
		 		 	Title:	 	Vice President
			
	REVOLVING AND SWINGLINE LENDER:	 		 	WELLS FARGO BANK, N.A.
				
		 		 	By:	 	 /s/ KEVIN SUNDAY

		 		 	Name:	 	Kevin Sunday
		 		 	Title:	 	Director
			
	REVOLVING LENDER:	 		 	CAPITAL ONE, NATIONAL ASSOCIATION
				
		 		 	By:	 	 /s/ JOHN WALSH

		 		 	Name:	 	John Walsh
		 		 	Title:	 	VP, Senior Director

  
 5EX-10.(b)(16)(b)

 Exhibit 10(b)(16)(b) 

Execution Copy 
  

 
  

FIRST AMENDMENT TO 

REVOLVING CREDIT AND SECURITY AGREEMENT 

by and among 
 NEWSTAR
COMMERCIAL LOAN FUNDING 2012-1 LLC, 
 as Borrower, 

VERSAILLES ASSETS LLC, 

as Required Lender, 
 and 

NATIXIS, NEW YORK BRANCH, 

as Administrative Agent 
 and
consented and agreed to by 
 NEWSTAR FINANCIAL, INC., 

as Collateral Servicer and as Originator 

Dated as of July 26, 2012 
  

 
  

 FIRST AMENDMENT TO 

REVOLVING CREDIT AND SECURITY AGREEMENT 

THIS FIRST AMENDMENT TO REVOLVING CREDIT AND SECURITY AGREEMENT, dated as of July 26, 2012 (this “Amendment”), is by and
among NEWSTAR COMMERCIAL LOAN FUNDING 2012-1 LLC, a Delaware limited liability company, as borrower (together with its permitted successors and assigns, the “Borrower”), VERSAILLES ASSETS LLC, a Delaware limited liability company
(the “Required Lender”), NATIXIS, NEW YORK BRANCH, as administrative agent for the Secured Parties (in such capacity, together with its successors and assigns, the “Administrative Agent”) and consented and agreed to
by NEWSTAR FINANCIAL, INC., a Delaware corporation (together with its successors and assigns and in its capacities as collateral servicer, the “Collateral Servicer” and as originator, the “Originator”). Reference is hereby
made to that certain Revolving Credit and Security Agreement dated as of February 16, 2012, (as amended by this Amendment, the “Credit Agreement”), among the Borrower, the LENDERS referred to therein, the Administrative Agent
and U.S. BANK NATIONAL ASSOCIATION, not in its individual capacity but as trustee for the Secured Parties. Capitalized terms used herein and not otherwise defined shall have the meanings assigned to such terms in the Credit Agreement. 

RECITALS 
 WHEREAS, the
Borrower, the Required Lender and the Administrative Agent are parties to the Credit Agreement; 
 WHEREAS, the Borrower, the Required
Lender and the Administrative Agent desire to amend certain provisions of the Credit Agreement as provided for herein; 
 WHEREAS, the prior
written notice of this Amendment has been provided to the Rating Agency; and 
 WHEREAS, the Collateral Servicer and Originator have
indicated their consent to this Amendment by signing below. 
 AGREEMENT 

NOW, THEREFORE, in consideration of the foregoing and for other valuable consideration the receipt and sufficiency of which are hereby
acknowledged, the parties, intending to be legally bound, hereto agree as follows: 
 SECTION 1. AMENDMENTS TO CREDIT AGREEMENT 

1.1 Amendments to Section 1.01 (Definitions). 

(a) Section 1.01 of the Credit Agreement is hereby amended by deleting the definition of “Maximum Weighted Average Life Test”
and adding thereto the following definitions of “Weighted Average Maturity Date” and “Weighted Average Maturity Test” in the proper alphabetical order: 

“Weighted Average Maturity Date” means, as of any Measurement Date with respect to all Collateral Loans other
than Defaulted Loans, the date calculated by adding to the Closing Date the weighted average life of such Collateral Loans (expressed as a number of months from the Closing Date and calculated by (a) summing the products obtained by multiplying
(i) the Principal Balance (or portion thereof) of each such Collateral Loan that is then held (or in relation to a proposed purchase of such a Collateral Loan, proposed to be held) by the Borrower and that matures or amortizes on any date
subsequent to such Measurement Date by (ii) the number of months from the Closing Date to the date of such maturity or amortization and (b) dividing such sum by the Aggregate Principal Balance of all such Collateral Loans identified in
clause (a)(i) above). 

  
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 “Weighted Average Maturity Test” means a test that will be
satisfied on any Measurement Date if the Weighted Average Maturity Date of all Collateral Loans (excluding Defaulted Loans) as of such date is on or before August 15, 2017. 

(b) Section 1.01 of the Credit Agreement is hereby further amended by deleting clause (d) of the definition of “Collateral
Quality Test” in its entirety and inserting in lieu thereof the following: 
 “(d) the Weighted Average Maturity
Test;” 
 (c) Section 1.01 of the Credit Agreement is hereby further amended by deleting clause (c) of the definition of
“Specified Change” in its entirety and inserting in lieu thereof the following:: 
 “(c) postpones the Due
Date of any Scheduled Distribution in respect of a Collateral Loan, unless the Moody’s Default Probability Rating in respect of such Collateral Loan has been confirmed to not be reduced or withdrawn as a result of such change and the Weighted
Average Maturity Date Test is satisfied after giving effect to such change,” 

  
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 SECTION 2. CONDITIONS TO EFFECTIVENESS 

2.1 Conditions Precedent. This Amendment shall, pursuant to Section 13.01(b) of the Credit Agreement, become effective upon
the satisfaction of all of the following conditions precedent: 
 A. Execution. The Administrative Agent shall have received a
counterpart signature page of this Amendment, duly executed by each of the Borrower and the Required Lender. 
 B. Consents. The
Administrative Agent shall have received the consent and agreement of each of the Collateral Servicer and Originator, which consent may be evidenced by a counterpart signature page of this Amendment, duly executed by each of the Collateral Servicer
and Originator. 
 C. Notification. The Rating Agency shall have received notification of this Amendment. 

SECTION 3. CREDIT AGREEMENT CONFIRMED 

3.1 Except as expressly amended by this Amendment, the Credit Agreement is in all respects ratified and confirmed and the Credit
Agreement shall remain in full force and effect and shall be read, taken and construed as one and the same instrument, and no other amendment, waiver or other modification of any provision of the Credit Agreement shall be effective unless signed by
the parties hereto. 
 SECTION 4. SUCCESSORS AND ASSIGNS 

4.1 This Amendment applies to, inures to the benefit of, and binds all parties hereof and their permitted successors and assigns in
accordance with Section 13.06 of the Credit Agreement. 
 SECTION 5. GOVERNING LAW 

5.1 THIS AMENDMENT AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES UNDER THIS AMENDMENT SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH
THE LAW OF THE STATE OF NEW YORK. 
 SECTION 6. ENTIRE AGREEMENT 

6.1 This Amendment constitutes all of the agreements among the parties relating to the matters set forth herein and supersedes all other
prior or concurrent oral or written letters, agreements and understandings with respect to the matters set forth herein. 

  
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 SECTION 7. COUNTERPARTS 

7.1 This Amendment may be executed in any number of counterparts and by different parties hereto on separate counterparts, each of which
counterparts, when so executed and delivered, shall be deemed to be an original and all of which counterparts, taken together, shall constitute but one and the same Amendment. Delivery of an executed signature page of this Amendment by facsimile or
other electronic transmission shall be effective as delivery of a manually executed counterpart hereof. 
 [Remainder of this
page intentionally left blank.] 

  
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 IN WITNESS WHEREOF, the parties hereto have executed this Amendment as of the date first
written above. 
  

					
	NEWSTAR COMMERCIAL LOAN FUNDING 2012-1 LLC,
	as Borrower
	
	By: NewStar Financial, Inc., as its Designated Manager
		
	By:	 	 /s/ JOHN J. FRISHKOPF

		 	Name:	 	John J. Frishkopf
		 	Title:	 	Treasurer
	
	 VERSAILLES ASSETS LLC,

as Required Lender

		
	By:	 	 /s/ JOHN L. FRIDLINGTON

		 	Name:	 	John L. Frindlington
		 	Title:	 	Vice President
	
	 NATIXIS, NEW YORK BRANCH,

as Administrative Agent

		
	By:	 	 /s/ LORAINE MEDVECKY

		 	Name:	 	Loraine Medvecky
		 	Title:	 	Managing Director
		
	By:	 	 /s/ MICHAEL E. HOPSON

		 	Name:	 	Michael E. Hopson
		 	Title:	 	Managing Director

 [SIGNATURES CONTINUE ON THE FOLLOWING PAGE] 

[Signature Page to First Amendment to Revolving Credit and Security Agreement] 

			
	CONSENTED AND AGREED TO:
	
	NEWSTAR FINANCIAL, INC.,
	as Collateral Servicer and as Originator
		
	By:	 	 /s/ JOHN J. FRISHKOPF

	Name:	 	John J. Frishkopf
	Title:	 	Treasurer

  
 [Signature Page to
First Amendment to Revolving Credit and Security Agreement]

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