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| CIK | 1025953 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 16, 2023 |
EXECUTION 6313426-1 THIS RESTRUCTURING SUPPORT AGREEMENT AND THE DOCUMENTS ATTACHED HERETO COLLECTIVELY DESCRIBE A PROPOSED RESTRUCTURING OF THE COMPANIES THAT WILL BE EFFECTUATED THROUGH FILING CHAPTER 11 CASES IN THE BANKRUPTCY COURT. |
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| August 16, 2023 |
DEBTOR-IN-POSSESSION LOAN AND SECURITY AGREEMENT DEBTOR-IN-POSSESSION LOAN AND SECURITY AGREEMENT THIS DEBTOR-IN-POSSESSION LOAN AND SECURITY AGREEMENT, dated as of August 4, 2023 (as amended, restated, amended and restated, supplemented or otherwise modified from time to time, this “Agreement”), is entered into by and among Novation Companies, Inc. |
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| August 16, 2023 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE ) In re: ) Chapter 11 ) NOVATION COMPANIES, INC. |
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| August 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM 8-K - CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2023 - NOVATION COMPANIES, INC. (Exact name of Registrant as Specified in Its Charter) - Maryland (State or Other Jurisdiction of Incorporation) 000-22897 (Commission F |
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| January 20, 2023 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 16, 2023 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organiz |
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| January 20, 2023 |
Exhibit 16.1 January 20, 2023 U.S. Securities and Exchange Commission Office of the Chief Accountant 100 F Street, NE Washington, DC 20549 Re: Novation Companies, Inc. File No. 000-22897 Dear Sir or Madam: We have read Item 4.01 of Form 8-K of Novation Companies dated January 20, 2023 and agree with the statements concerning our Firm contained therein. Very Truly Yours, Boulay PLLP |
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| April 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 23, 2022 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organizat |
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| January 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 14, 2022 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organiz |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NO |
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| August 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 16, 2021 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organiza |
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| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATIO |
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| July 16, 2021 |
Exhibit 4.1 FOURTH AMENDMENT TO RIGHTS AGREEMENT THIS FOURTH AMENDMENT TO RIGHTS AGREEMENT (this ?Amendment?) is made as of July 15, 2021, by and between Novation Companies, Inc. (formerly NovaStar Financial, Inc.) (the ?Company?) and Computershare Trust Company, N.A. (the ?Rights Agent?). WHEREAS, the Company and the Rights Agent are parties to that certain Rights Agreement dated as of September |
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| July 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 15, 2021 NOVATION COMPANIES, INC. (Exact Name of Registrant as Specified in Its Charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commission |
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| July 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A (Amendment No. 4) FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 74-2830661 (State or other jurisdiction of incorporation or organization) (I.R.S. Employ |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATI |
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| March 4, 2021 |
Subsidiaries of the Registrant. Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Novation Holding, Inc., a Delaware Corporation Healthcare Staffing, Inc., a Georgia corporation NovaStar Mortgage LLC, a Virginia limited liability company NovaStar Mortgage Funding Corporation, a Delaware corporation NovaStar REMIC Financing Corporation, a Delaware corporation |
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| March 4, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2020 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-22897 NOVATION CO |
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| November 12, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NO |
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| September 21, 2020 |
2015 Incentive Stock Plan, as amended Exhibit 4.1 AMENDED 2015 INCENTIVE STOCK PLAN 1. Purpose of the Plan. The purpose of the Plan is to provide the Company with a means to assist in recruiting, retaining and rewarding certain employees, directors and consultants and to motivate such individuals to exert their best efforts on behalf of the Employer by providing incentives through the granting of Awards. By granting Awards to such ind |
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| September 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 Registration Statement Under the Securities Act of 1933 Novation Companies, Inc. Exact name of registrant as specified in its charter Maryland 74-2830661 State or other jurisdiction of incorporation or organization IRS Employer Identification Number 9229 Ward Parkway, Suite 340 Kansas City, MO 64114 Address of Princip |
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| August 13, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATIO |
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| May 13, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATI |
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| March 23, 2020 |
Subsidiaries of the Registrant. Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Novation Holding, Inc., a Delaware Corporation Healthcare Staffing, Inc., a Georgia corporation NovaStar Mortgage LLC, a Virginia limited liability company NovaStar Mortgage Funding Corporation, a Delaware corporation NovaStar REMIC Financing Corporation, a Delaware corporation |
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| March 23, 2020 |
NOVC / Novation Companies, Inc. 10-K - Annual Report - FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-22897 NOVATION CO |
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| March 23, 2020 |
Description of the Company's Securities Exhibit 4.6 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Novation Companies, Inc. (“Novation” or the “Company”) has authority to issue 800,000,000 shares of capital stock (the “Capital Stock”), consisting of 780,000,000 shares of common stock, $0.01 par value per share (the “Common Stock”), and 20,000,000 shares of preferred st |
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| December 13, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 12, 2019 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organiz |
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| November 13, 2019 |
NOVC / Novation Companies, Inc. 10-Q - Quarterly Report - FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NO |
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| October 31, 2019 |
NOVC / Novation Companies, Inc. DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| October 31, 2019 |
NOVC / Novation Companies, Inc. DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| September 25, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 20, 2019 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commis |
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| September 25, 2019 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (the “Employment Agreement”), is made and entered into as of October 1, 2019 (the “Commencement Date”), by and between Novation Companies, Inc., a Maryland corporation (the “Company”), and David W. Pointer (the “Executive”). RECITALS: WHEREAS, the Executive has been employed by the Company since March 27th, 2018; WHEREAS, the Executive an |
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| August 12, 2019 |
Exhibit 10.1 FIRST AMENDMENT TO SENIOR SECURED NOTE PURCHASE AGREEMENT THIS FIRST AMENDMENT TO SENIOR SECURED NOTE PURCHASE AGREEMENT is dated as of August 9, 2019, by and among NOVATION COMPANIES, INC., a Maryland corporation (“Issuer”), each of those Subsidiaries of the Issuer identified as a “Guarantor” on the signature pages hereto and such other Subsidiaries of the Issuer as may from time to |
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| August 12, 2019 |
NOVC / Novation Companies, Inc. 10-Q - Quarterly Report - FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATIO |
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| May 13, 2019 |
NOVC / Novation Companies, Inc. 10-Q Quarterly Report FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2019 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATI |
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| March 28, 2019 |
NOVC / Novation Companies, Inc. FORM 10-K (Annual Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2018 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-22897 NOVATION CO |
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| March 28, 2019 |
Subsidiaries of the Registrant. Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Novation Holding, Inc., a Delaware Corporation Healthcare Staffing, Inc., a Georgia corporation NovaStar Mortgage LLC, a Virginia limited liability company NovaStar Mortgage Funding Corporation, a Delaware corporation NovaStar REMIC Financing Corporation, a Delaware corporation NovaStar CDO Holdings, Inc., a Delaware corporation |
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| January 4, 2019 |
Entry into a Material Definitive Agreement, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 28, 2018 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commiss |
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| December 14, 2018 |
Exhibit 3.1 ARTICLES OF AMENDMENT NOVATION COMPANIES, INC. (the “Corporation”), a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Maryland (the “MGCL”), hereby certifies to the Department of Assessments and Taxation of Maryland (the “Department”) that: FIRST: The name of the Corporation is Novation Companies, Inc. SECOND: The |
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| December 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 12, 2018 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commiss |
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| November 13, 2018 |
NOVC / Novation Companies, Inc. 10-Q 09302018 (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2018 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, |
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| October 10, 2018 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 4, 2018 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organizat |
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| September 6, 2018 |
NOVC / Novation Companies, Inc. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| August 16, 2018 |
NOVC / Novation Companies, Inc. PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confide |
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| August 14, 2018 |
NOVC / Novation Companies, Inc. 06 30 2018 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2018 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| July 25, 2018 |
NOVC / Novation Companies, Inc. 8-A12G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A (Amendment No. 3) FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 74-2830661 (State or other jurisdiction of incorporation or organization) (I.R.S. Employ |
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| July 25, 2018 |
Exhibit 4.1 THIRD AMENDMENT TO RIGHTS AGREEMENT THIS THIRD AMENDMENT TO RIGHTS AGREEMENT (the “Amendment”) is made as of July 20, 2018, between Novation Companies, Inc. (formerly NovaStar Financial, Inc.) (the “Company”) and Computershare Trust Company, N.A. (the “Rights Agent”). WHEREAS, the Company and the Rights Agent are parties to that certain Rights Agreement dated as of September 15, 2011, |
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| July 25, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 20, 2018 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 11, 2018 |
NOVC / Novation Companies, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2018 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| April 17, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 12, 2018 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 10, 2018 |
Subsidiaries of the Registrant. EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Novation Holding, Inc., a Delaware Corporation Healthcare Staffing, Inc., a Georgia corporation NovaStar Mortgage LLC, a Virginia limited liability company NovaStar Mortgage Funding Corporation, a Delaware corporation NovaStar REMIC Financing Corporation, a Delaware corporation NovaStar CDO Holdings, Inc., a Delaware corporation |
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| April 10, 2018 |
EXHIBIT 10.12 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the “Agreement”), dated as of July 27, 2017, is by and among HEALTHCARE STAFFING, INC. (the “Company”), NOVATION COMPANIES, INC. (“Parent”), and RICHARD RECTOR (“Executive”). W I T N E S S E T H: WHEREAS, the Company’s entry into an employment agreement with Executive is a condition to closing the transactions contemplated by the Stock |
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| April 10, 2018 |
NOVC / Novation Companies, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-22897 NOVATION COMPANIES, INC. (Exa |
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| April 10, 2018 |
EXHIBIT 10.11 August 9, 2017 Carolyn Campbell 8805 Custer Trail Kansas City, MO 64131 Dear Carolyn: On behalf of Novation Companies, Inc. (the “Company”), we are pleased to present this offer for you to join the Company in the position of Chief Financial Officer of the Company, and to serve as the Company’s Principal Financial Officer and Principal Accounting Officer, reporting to the Executive Ch |
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| April 3, 2018 |
NOVC / Novation Companies, Inc. NT 10-K SEC FILE NUMBER 000-22897 CUSIP NUMBER 66989V107 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 28, 2018 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (the “Employment Agreement”), is made and entered into as of March 27, 2018 (the “Commencement Date”), by and between Novation Companies, Inc., a Maryland corporation (the “Company”), and David W. Pointer (the “Executive”). RECITALS: WHEREAS, the Executive is becoming an employee of the Company on the Commencement Date; WHEREAS, the Execu |
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| March 28, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 27, 2018 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commission |
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| February 27, 2018 |
NOVC / Novation Companies, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, |
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| February 27, 2018 |
Exhibit 2.1 CLOSING AGREEMENT This CLOSING AGREEMENT (this “Agreement”) is made as of July 27, 2017, by and between Novation Companies, Inc. (“Parent”), Novation Holding, Inc. (“Buyer”), Healthcare Staffing, Inc. (the “Company”) and Butler America, LLC (“Seller”). Capitalized terms used in this Agreement and not otherwise defined herein shall have the meanings ascribed to them in the Purchase Agre |
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| February 27, 2018 |
Exhibit 10.1 $85,937,500.00 SENIOR SECURED NOTE PURCHASE AGREEMENT among NOVATION COMPANIES, INC. as Issuer, and THE SUBSIDIARIES OF THE ISSUER FROM TIME TO TIME PARTY HERETO, as Guarantors, TABERNA PREFERRED FUNDING I, LTD., TABERNA PREFERRED FUNDING II, LTD., and KODIAK CDO I, LTD. as Noteholders, and, WILMINGTON SAVINGS FUND SOCIETY, FSB, as Collateral Agent Dated as of July 27, 2017 Table of C |
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| January 11, 2018 |
Exhibit ITEM 9.01(a) - Interim Financial Statements of Business Acquired Healthcare Staffing, Inc. Balance Sheets (In Thousands, Except Share and Per Share Amounts) July 2, 2017 January 1, 2017 (Unaudited) ASSETS Current assets: Cash $ 281 $ 649 Accounts receivable 5,535 7,740 Prepaid expenses and other current assets 153 129 Due from Parent ? 2,500 Total current assets 5,969 11,018 Fixed assets, |
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| January 11, 2018 |
As Reported Prior to HCS Acquisition Exhibit ITEM 9.01 (b) ? Unaudited Pro Forma Condensed Combined Consolidated Financial Information On February 1, 2017, Novation Companies, Inc. (?Novation? or the ?Company?) entered into a Stock Purchase Agreement (as amended, the ?HCS Purchase Agreement?) with Novation Holding, Inc., a wholly-owned subsidiary of the Company (?NHI?), Healthcare Staffing, Inc. (?HCS?) and Butler America, LLC, the o |
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| January 11, 2018 |
Financial Statements and Exhibits Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 27, 2017 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction o |
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| January 11, 2018 |
Exhibit ITEM 9.01(a) - Audited Financial Statements of Business Acquired INDEPENDENT AUDITORS' REPORT Board of Directors Healthcare Staffing, Inc. We have audited the accompanying financial statements of Healthcare Staffing, Inc. (the "Company"), which comprise the balance sheets as of January 1, 2017 and December 27, 2015, and the related statements of operations, net capital deficiency, and cash |
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| November 21, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| November 20, 2017 |
Exhibit 10.1 REVOLVING CREDIT AND SECURITY AGREEMENT THIS REVOLVING CREDIT AND SECURITY AGREEMENT (?Agreement?) is entered into as of November 17, 2017, between Healthcare Staffing, Inc., a Georgia corporation (?Borrower?), and FEDERAL NATIONAL PAYABLES, INC., a Delaware corporation doing business as Federal National Commercial Credit (?Lender?). Background Borrower wishes to obtain a revolving se |
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| November 20, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 17, 2017 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commiss |
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| November 20, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2017 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| October 26, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Year Ended December 31, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-22897 NOVATION COMPANIES, INC. (Exact Name |
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| October 26, 2017 |
EXHIBIT 10.3 NOVATION COMPANIES, INC. RESTRICTED STOCK AWARD AGREEMENT NON-EMPLOYEE DIRECTORS This Restricted Stock Award Agreement (the ?Agreement?) is by and between Novation Companies, Inc., a Maryland corporation (the ?Corporation?), and [DIRECTOR] (?Director?), and is effective as of [ , ] (the ?Date of Grant?). WHEREAS, pursuant to Section 7.A. of the Novation Companies, Inc. 2015 Incentive |
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| October 26, 2017 |
EXHIBIT 10.4 NOVATION COMPANIES, INC. RESTRICTED STOCK AWARD AGREEMENT NOVATION COMPANIES, Inc. EMPLOYEES This Restricted Stock Award Agreement (the ?Agreement?) is by and between Novation Companies, Inc., a Maryland corporation (the ?Corporation?), and [EMPLOYEE] (?Employee?), and is effective as of [ , ] (the ?Date of Grant?). WHEREAS, the Employee serves as [TITLE] of the Corporation; and WHERE |
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| October 26, 2017 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Novation Holdings, Inc., a Delaware Corporation Healthcare Staffing, Inc., a Georgia corporation NovaStar Mortgage LLC, a Virginia limited liability company NovaStar Mortgage Funding Corporation, a Delaware corporation NovaStar REMIC Financing Corporation, a Delaware corporation NovaStar CDO Holdings, Inc., a Delaware corporation 2114 Central, LLC, a Del |
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| October 3, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 29, 2017 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commis |
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| August 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 9, 2017 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 2, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 27, 2017 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 2, 2017 |
EX-3.2 3 ex32to8k1103200308012017.htm Exhibit 3.2 NOVATION COMPANIES, INC. SECOND AMENDED AND RESTATED BYLAWS ARTICLE I MEETINGS OF STOCKHOLDERS Section 1. ANNUAL MEETING. An annual meeting of stockholders for the election of directors and the transaction of any business within the powers of the Corporation shall be held on the date and at the time and place set by the Board of Directors. Section |
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| August 2, 2017 |
Exhibit 3.1 Novation Companies, Inc. ARTICLES OF AMENDMENT AND RESTATEMENT First: Novation Companies, Inc., a Maryland corporation, desires to amend and restate its charter as currently in effect and as hereinafter amended. Second: The following provisions are all the provisions of the charter currently in effect and as hereinafter amended: Article I NAME The name of the corporation (the ?Corporat |
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| June 16, 2017 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND (BALTIMORE DIVISION) Exhibit 99.2 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND (BALTIMORE DIVISION) In re: Novation Companies, Inc., et al., Debtors.1 Chapter 11 Case No. 16-19745, 19747-19749 DER (Jointly Administered) NOTICE OF FILING OF CERTAIN PLAN SUPPLEMENT DOCUMENTS AND SCHEDULES RELATING TO THE DEBTORS’ SECOND AMENDED CHAPTER 11 PLAN OF REORGANIZATION PLEASE TAKE NOTICE that, pursuant to |
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| June 16, 2017 |
Financial Statements and Exhibits, Bankruptcy or Receivership UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 12, 2017 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 16, 2017 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND BALTIMORE DIVISION Exhibit 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND BALTIMORE DIVISION In re: Novation Companies, Inc., et al., Debtors.1 Chapter 11 Case No. 16-19745, 19747-19749 DER (Jointly Administered) DEBTORS? SECOND AMENDED JOINT CHAPTER 11 PLAN OF REORGANIZATION OF (i) NOVATION COMPANIES, INC AND (ii) NOVASTAR MORTGAGE LLC Dated: May 17, 2017 OLSHAN FROME WOLOSKY LLP Adam H. Fr |
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| June 16, 2017 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND (BALTIMORE DIVISION) Exhibit 99.3 Entered: June 12th, 2017 Signed: June 12th, 2017 SO ORDERED IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND (BALTIMORE DIVISION) In re: Novation Companies, Inc., et al., 1 Debtors. Chapter 11 Case No. 16-19745, 19747-19749 DER (Jointly Administered) FINDINGS OF FACT, CONCLUSIONS OF LAW AND ORDER CONFIRMING, PURSUANT TO SECTIONS 1129(a) AND (b) OF THE BANKRUPTCY CODE |
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| April 13, 2017 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND BALTIMORE DIVISION Exhibit 99.1 THIS IS NOT A SOLICITATION OF ACCEPTANCE OR REJECTION OF THE PLAN. ACCEPTANCES OR REJECTIONS MAY NOT BE SOLICITED UNTIL A DISCLOSURE STATEMENT HAS BEEN APPROVED BY THE BANKRUPTCY COURT. THIS DISCLOSURE STATEMENT IS BEING SUBMITTED FOR APPROVAL BUT HAS NOT BEEN APPROVED BY THE BANKRUPTCY COURT. IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND BALTIMORE DIVISION In re: |
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| April 13, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 13, 2017 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organizati |
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| April 13, 2017 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND (Baltimore Division) Exhibit 99.2 THIS IS NOT A SOLICITATION OF ACCEPTANCE OR REJECTION OF THE PLAN. ACCEPTANCES OR REJECTIONS MAY NOT BE SOLICITED UNTIL A DISCLOSURE STATEMENT HAS BEEN APPROVED BY THE BANKRUPTCY COURT. THIS DISCLOSURE STATEMENT IS BEING SUBMITTED FOR APPROVAL BUT HAS NOT BEEN APPROVED BY THE BANKRUPTCY COURT. IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND (Baltimore Division) In r |
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| March 16, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 16, 2017 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commission |
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| February 16, 2017 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND BALTIMORE DIVISION Exhibit 99.1 THIS IS NOT A SOLICITATION OF ACCEPTANCE OR REJECTION OF THE PLAN. ACCEPTANCES OR REJECTIONS MAY NOT BE SOLICITED UNTIL A DISCLOSURE STATEMENT HAS BEEN APPROVED BY THE BANKRUPTCY COURT. THIS DISCLOSURE STATEMENT IS BEING SUBMITTED FOR APPROVAL BUT HAS NOT BEEN APPROVED BY THE BANKRUPTCY COURT. IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND BALTIMORE DIVISION In re: |
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| February 16, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 14, 2017 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commiss |
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| February 16, 2017 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND (Baltimore Division) Exhibit 99.2 THIS IS NOT A SOLICITATION OF ACCEPTANCE OR REJECTION OF THE PLAN. ACCEPTANCES OR REJECTIONS MAY NOT BE SOLICITED UNTIL A DISCLOSURE STATEMENT HAS BEEN APPROVED BY THE BANKRUPTCY COURT. THIS DISCLOSURE STATEMENT IS BEING SUBMITTED FOR APPROVAL BUT HAS NOT BEEN APPROVED BY THE BANKRUPTCY COURT. IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF MARYLAND (Baltimore Division) In r |
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| February 3, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 1, 2017 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or Other Jurisdiction of Incorporation) (Commissi |
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| February 3, 2017 |
Exhibit 2.1 STOCK PURCHASE AGREEMENT by and among NOVATION COMPANIES, INC. (“Parent”), Novation Holding, Inc. (“Buyer”), HEALTHCARE STAFFING, INC. (the “Company”), BUTLER AMERICA, LLC, the sole stockholder of the Company (“Seller”) As of February 1, 2017 TABLE OF CONTENTS Page Article 1 Principal Transaction 1 Section 1.1 Sale and Purchase of Stock 1 Section 1.2 Estimated Closing Cash Payment; Pay |
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| November 14, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, |
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| August 15, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| August 15, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| July 22, 2016 |
Financial Statements and Exhibits, Other Events form8k1103200307222016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2016 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of |
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| July 22, 2016 |
Novation Companies, Inc. and Subsidiaries Commence Voluntary Chapter 11 Business Reorganization ex991to8k1103200307222016.htm Exhibit 99.1 Novation Companies, Inc. and Subsidiaries Commence Voluntary Chapter 11 Business Reorganization Kansas City, MO. – July 20, 2016 – Novation Companies, Inc. (OTCQB: NOVC) (“Novation” or the “Company”) announced today that it and certain of its subsidiaries filed voluntary petitions for chapter 11 business reorganization in the U.S. Bankruptcy Court for the |
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| June 10, 2016 |
Submission of Matters to a Vote of Security Holders form8k1045300306102016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2016 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of i |
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| May 23, 2016 |
ex161to8k1045300305232016.htm Exhibit 16.1 May 18, 2016 Grant Thornton LLP U.S. Securities and Exchange Commission Office of the Chief Accountant 100 F Street, NE Washington, DC 20549 1201 Walnut Street, Suite 2200 Kansas City, Missouri 64106 T 816.412.2400 F 816.412.2404 www.GrantThornton.com Re: Novation Companies, Inc. File No. 000-22897 Dear Sir or Madam: We have read Item 4.01 of Form 8-K of |
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| May 23, 2016 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant form8k1045300305232016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2016 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of i |
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| May 13, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| April 29, 2016 |
defa14a1045300304292016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Prelimina |
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| April 29, 2016 |
def14a1045300304292016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminar |
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| April 8, 2016 |
pre14a1045300304072016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminar |
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| April 7, 2016 |
form8k1045300304072015.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2016 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of |
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| March 7, 2016 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 4, 2016 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organiz |
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| February 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2015 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. (Exa |
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| February 16, 2016 |
TRANSACTION BONUS AND RELEASE AGREEMENT Exhibit 10.26 TRANSACTION BONUS AND RELEASE AGREEMENT TRANSACTION BONUS AND RELEASE AGREEMENT (this ?Agreement?) by and between MATTHEW LAUTZ (?Employee?) with an address of N36 W23672 Oak Hill Lane, Pewaukee WI 53072 and NOVATION COMPANIES, INC. (?Novation?, and together with its parents, subsidiaries and affiliates, the ?Company?) with an address at 2114 Central Street, Suite 600, Kansas City, M |
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| February 16, 2016 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Novation Holdings, Inc., a Delaware Corporation NovaStar Mortgage LLC, a Virginia limited liability company ? NovaStar Mortgage Funding Corporation, a Delaware corporation ? NovaStar REMIC Financing Corporation, a Delaware corporation NovaStar CDO Holdings, Inc., a Delaware corporation NovaStar ABS CDO I, Inc., a Delaware corporation NovaStar ABS CDO I, |
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| January 8, 2016 |
NOVATION COMPANIES, INC. POWER OF ATTORNEY SECURITIES LAW COMPLIANCE Exhibit NOVATION COMPANIES, INC. POWER OF ATTORNEY SECURITIES LAW COMPLIANCE The undersigned, as a Section 16 reporting person of Novation Companies, Inc. (the ? Company ?), hereby constitutes and appoints each of Rodney E. Schwatken and Joseph Ford the undersigned?s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned?s capacity as an officer a |
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| January 8, 2016 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 6, 2016 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organ |
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| January 6, 2016 |
Completion of Acquisition or Disposition of Assets 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 6, 2016 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or organ |
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| January 4, 2016 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 29, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 000-22897 74-2830661 (State or other jurisdiction of incorporation or org |
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| December 22, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2015 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, |
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| December 21, 2015 |
Exhibit EXECUTION VERSION MEMBERSHIP INTEREST PURCHASE AGREEMENT by and among SHORETEL, INC. |
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| December 21, 2015 |
Novation to Sell Corvisa to ShoreTel Exhibit Exhibit 99.1 Novation to Sell Corvisa to ShoreTel Novation to Focus on Taking Advantage of Large Deferred Tax Asset Kansas City, MO. ? December 21, 2015 ? Novation Companies, Inc. (OTCQB: NOVC) (?Novation?) today announced that it is selling Corvisa LLC to ShoreTel, Inc. (NASDAQ: SHOR). ShoreTel will pay $8.5 million in cash to acquire 100% of the outstanding membership interests of Corvis |
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| December 21, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 December 21, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or org |
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| November 16, 2015 |
NT 10-Q SEC FILE NUMBER 001-13533 CUSIP NUMBER 66989V107 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| October 13, 2015 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 October 8, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organ |
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| August 28, 2015 |
Exhibit SECOND AMENDMENT TO RIGHTS AGREEMENT THIS SECOND AMENDMENT TO RIGHTS AGREEMENT (the ?Amendment?) is made as of August 24, 2015, between Novation Companies, Inc. |
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| August 28, 2015 |
Novation Companies 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 24, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organ |
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| August 28, 2015 |
8-A12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 74-2830661 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identi |
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| August 20, 2015 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 18, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of in |
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| August 20, 2015 |
EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT Exhibit EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT THIS EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT (this ?Agreement?), dated as of the 18th day of August, 2015, is entered into by and between Novation Companies, Inc. |
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| August 20, 2015 |
EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT Exhibit EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT THIS EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT (this ?Agreement?), dated as of the 18th day of August, 2015, is entered into by and between Novation Companies, Inc. |
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| August 17, 2015 |
Exhibit Novation Companies Announces Changes of Executive Team CEO Lance Anderson Retires and the Company Promotes Rodney Schwatken as CEO and Matt Lautz as CEO of Corvisa LLC Kansas City, MO. |
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| August 17, 2015 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 14, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organ |
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| August 14, 2015 |
SECOND AMENDED AND RESTATED STOCK OPTION AGREEMENT (W. Lance Anderson) Exhibit SECOND AMENDED AND RESTATED STOCK OPTION AGREEMENT (W. Lance Anderson) THIS SECOND AMENDED AND RESTATED STOCK OPTION AGREEMENT (this ?Agreement?), dated this 14th day of August, 2015, by and between Novation Companies, Inc., a Maryland corporation (formerly known as NovaStar Financial, Inc., the ?Company?) and W. Lance Anderson, an individual employee of the Company (the ?Optionee?). The C |
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| August 14, 2015 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 14, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organ |
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| August 7, 2015 |
EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT [Key Executive Form] EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT [Key Executive Form] THIS EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT (this ?Agreement?), dated as of the day of , 20[], is entered into by and between Novation Companies, Inc. |
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| August 7, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2015 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| August 7, 2015 |
NOVATION COMPANIES, INC. RESTRICTED STOCK AWARD AGREEMENT TO NON-EMPLOYEE DIRECTOR NOVATION COMPANIES, INC. RESTRICTED STOCK AWARD AGREEMENT TO NON-EMPLOYEE DIRECTOR This Restricted Stock Award Agreement (the ?Agreement?) is by and between Novation Companies, Inc., a Maryland corporation (the ?Corporation?), and [] (?Director?), and is effective as of [], 20[]. WHEREAS, pursuant to Section 7.A. of the Novation Companies, Inc. 2015 Incentive Stock Plan (the ?Plan?), the Compensat |
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| August 7, 2015 |
Exhibit 10.1 NOVATION COMPANIES, INC. 2015 INCENTIVE STOCK PLAN 1. Purpose of the Plan. The purpose of the Plan is to provide the Company with a means to assist in recruiting, retaining and rewarding certain employees, directors and consultants and to motivate such individuals to exert their best efforts on behalf of the Employer by providing incentives through the granting of Awards. By granting |
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| August 7, 2015 |
EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT [Corvisa Employee Form] EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT [Corvisa Employee Form] THIS EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT (this ?Agreement?), dated as of the day of , 20[], is entered into by and between Novation Companies, Inc. |
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| August 7, 2015 |
NOVC S-8 - 07.31.2015 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland (State or Other Jurisdiction of Incorporation or Organization) 74-2830661 (I.R.S. Employer Identification No.) 2114 Central Street, Suite 600 Kansas City, Missouri (A |
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| August 7, 2015 |
Novation Companies, Inc. ARTICLES OF AMENDMENT AND RESTATEMENT Exhibit 3.1 Novation Companies, Inc. ARTICLES OF AMENDMENT AND RESTATEMENT FIRST: Novation Companies, Inc., a Maryland corporation desires to amend and restate its charter as currently in effect and as hereinafter amended. SECOND: The following provisions are all the provisions of the charter currently in effect and as hereinafter amended: Article INAME The name of the corporation (the ?Corporatio |
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| July 21, 2015 |
Submission of Matters to a Vote of Security Holders NOVC 8-K - 07.21.2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 July 21, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorp |
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| June 4, 2015 |
Exhibit 24 - Power of Attorney POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that each of the undersigned hereby constitutes and appoints Rodney Schwatken, Brett Monger and Joseph Ford, and each of them, his or her true and lawful attorneys-in-fact and agents, with full power of substitution and revocation in each, for him or her and in his or her name, place and stead, to sign any or all repo |
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| June 1, 2015 |
Financial Statements and Exhibits, Other Events NOVC 8-K - 06.01.2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 1, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorpo |
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| June 1, 2015 |
Novation Companies DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) S Filed by the Registrant ? Filed by a Party other than the Registrant Check the appropriate box: ? Preliminary Proxy Statement ? Soliciti |
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| June 1, 2015 |
NOVC DEF 14A - 06.01.2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A (Rule 14a-101) I NFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? Filed by the Registrant ? Filed by a Party other than the Registrant Check the appropriate box: ? Preliminary |
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| June 1, 2015 |
NOVC 8-K - 06.01.2015 EX 99.1 To the Shareholders of Novation Companies, Inc.: 2014 was a year of significant change for Novation as we sold StreetLinks and Advent, completing the strategic shift that would focus our efforts on growing the business of Corvisa. Corvisa is a cloud telecommunications and software company bringing to market a unique product-plus-platform solution. We were recently rec |
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| May 27, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 2 x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION CO |
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| May 22, 2015 |
NOVC PRE 14A - 05.22.2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 14A (Rule 14a-101) I NFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ý Filed by the Registrant ¨ Filed by a Party other than the Registrant Check the appropriate box: ý Preliminary |
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| May 7, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2015 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| April 30, 2015 |
SECOND AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT Exhibit 10.17 SECOND AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT THIS SECOND AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT (?Agreement?), dated as of March 2, 2015, hereby amends and restates in its entirety the Amended and Restated Employee Non-Qualified Stock Option Agreement dated May 7, 2013 (the ?Existing Option Agreement?) by and between Novation C |
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| April 30, 2015 |
Exhibit 10.19 NOVATION COMPANIES, INC. AMENDED AND RESTATED RESTRICTED STOCK AWARD AGREEMENT TO NON-EMPLOYEE DIRECTOR (Shares Subject to Forfeiture) This Amended and Restated Restricted Stock Award Agreement (the ?Agreement?) is by and between Novation Companies, Inc., a Maryland corporation (formerly known as NovaStar Financial, Inc., the ?Corporation?), and Gregory T. Barmore (?Director?), and i |
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| April 30, 2015 |
Exhibit 10.21 NOVATION COMPANIES, INC. AMENDED AND RESTATED RESTRICTED STOCK AWARD AGREEMENT TO NON-EMPLOYEE DIRECTOR (Shares Subject to Forfeiture) This Amended and Restated Restricted Stock Award Agreement (the ?Agreement?) is by and between Novation Companies, Inc., a Maryland corporation (formerly known as NovaStar Financial, Inc., the ?Corporation?), and Edward W. Mehrer (?Director?), and is |
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| April 30, 2015 |
SECOND AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT Exhibit 10.15 SECOND AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT THIS SECOND AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT (?Agreement?), dated as of March 2, 2015, hereby amends and restates in its entirety the Amended and Restated Employee Non-Qualified Stock Option Agreement dated May 7, 2013 (the ?Existing Option Agreement?) by and between Novation C |
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| April 30, 2015 |
AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT Exhibit 10.18 AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT THIS AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT, dated as of March 2, 2015, hereby amends and restates in its entirety the Employee Non-Qualified Stock Option Agreement dated June 20, 2014 (the ?Existing Option Agreement?) by and between Novation Companies, Inc., a Maryland corporation (formerl |
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| April 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A Amendment No. 1 x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION CO |
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| April 30, 2015 |
Exhibit 10.22 NOVATION COMPANIES, INC. AMENDED AND RESTATED RESTRICTED STOCK AWARD AGREEMENT TO NON-EMPLOYEE DIRECTOR (Shares Subject to Forfeiture) This Amended and Restated Restricted Stock Award Agreement (the ?Agreement?) is by and between Novation Companies, Inc., a Maryland corporation (formerly known as NovaStar Financial, Inc., the ?Corporation?), and Howard M. Amster (?Director?), and is |
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| April 30, 2015 |
SECOND AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT Exhibit 10.16 SECOND AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT THIS SECOND AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT (?Agreement?), dated as of March 2, 2015, hereby amends and restates in its entirety the Amended and Restated Employee Non-Qualified Stock Option Agreement dated May 7, 2013 (the ?Existing Option Agreement?) by and between Novation C |
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| April 30, 2015 |
Exhibit 10.20 NOVATION COMPANIES, INC. AMENDED AND RESTATED RESTRICTED STOCK AWARD AGREEMENT TO NON-EMPLOYEE DIRECTOR (Shares Subject to Forfeiture) This Amended and Restated Restricted Stock Award Agreement (the ?Agreement?) is by and between Novation Companies, Inc., a Maryland corporation (formerly known as NovaStar Financial, Inc., the ?Corporation?), and Art N. Burtscher (?Director?), and is |
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| April 30, 2015 |
Exhibit 10.23 NOVATION COMPANIES, INC. AMENDED AND RESTATED RESTRICTED STOCK AWARD AGREEMENT TO NON-EMPLOYEE DIRECTOR (Shares Subject to Forfeiture) This Amended and Restated Restricted Stock Award Agreement (the ?Agreement?) is by and between Novation Companies, Inc., a Maryland corporation (formerly known as NovaStar Financial, Inc., the ?Corporation?), and Barry A. Igdaloff (?Director?), and is |
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| April 27, 2015 |
NOVC8-K-04272015Ex101 Exhibit 10.1 AGREEMENT This Agreement (this ? Agreement ?) is made and entered into as of April 22, 2015, by and among Novation Companies, Inc. a Maryland corporation (the ? Company ?), Lone Star Value Investors, LP (? Lone Star Value Investors ?), Lone Star Value Investors GP, LLC (? Lone Star Value GP ?), Lone Star Value Management, LLC (? Lone Star Value Management ?) and |
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| April 27, 2015 |
NOVC 8-K - 04.27.2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 22, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incor |
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| April 27, 2015 |
NOVC8-K-04272015Ex991 Exhibit 99.1 NOVATION ANNOUNCES AGREEMENT WITH LONE STAR VALUE Appoints Jeffrey E. Eberwein and Robert G. Pearse as Independent Directors Kansas City, MO (April 22, 2015) ? Novation Companies, Inc. (?Novation? or the ?Company?) today announced that it has entered into an agreement with Lone Star Value Management, LLC and its affiliates (?Lone Star Value?). Novation has agreed |
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| April 6, 2015 |
NOVATION COMPANIES, INC. AMENDED AND RESTATED BYLAWS ARTICLE I MEETINGS OF STOCKHOLDERS novc8k04062015ex31 Exhibit 3.1 NOVATION COMPANIES, INC. AMENDED AND RESTATED BYLAWS ARTICLE I MEETINGS OF STOCKHOLDERS Section 1. ANNUAL MEETING . An annual meeting of stockholders for the election of directors and the transaction of any business within the powers of the Corporation shall be held on the date and at the time and place set by the Board of Directors. Section 2. SPECIAL MEETINGS . Spe |
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| April 6, 2015 |
BYLAWS OF NOVASTAR FINANCIALNOVATION COMPANIES, INC. As of July 27, 2005 AMENDED AND RESTATED BYLAWS ARTICLE I MEETINGS OF STOCKHOLDERS SECTION 1. Annual Meeting. Section 1. ANNUAL MEETING. An annual meeting of stockholders of the Corporation for the purposeelection of electing directors and transacting such other business as may properly come before the meeting shall be held each yearthe transact |
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| April 6, 2015 |
NOVC 8-K - 04.06.2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 1, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorp |
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| March 5, 2015 |
NOVC 8-K - 03.04.2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 2, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorp |
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| March 5, 2015 |
AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT NOVC8-K-03052015EX103 AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT THIS AMENDED AND RESTATED EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT (?Agreement?), dated as of March 2, 2015, hereby amends and restates in its entirety the Employee Non-Qualified Stock Option Agreement dated November 10, 2009 (the ?Existing Option Agreement?), by and between Novation Companies, Inc. |
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| March 5, 2015 |
NOVATION COMPANIES, INC. 2004 INCENTIVE STOCK PLAN (as amended and restated through March 2, 2015) NOVC8-K-03052015EX101 NOVATION COMPANIES, INC. 2004 INCENTIVE STOCK PLAN (as amended and restated through March 2, 2015) Section 1. General Purpose of Plan; Definitions. The name of this plan is the Novation Companies, Inc. 2004 Incentive Stock Plan (the ?Plan?). The Plan was adopted by the Board on March 11, 2004 and approved by the Company?s stockholders on June 8, 2004 and June 6, 2014. The pur |
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| March 5, 2015 |
AMENDED AND RESTATED STOCK OPTION AGREEMENT (W. Lance Anderson) NOVC8-K-03052015EX102 AMENDED AND RESTATED STOCK OPTION AGREEMENT (W. Lance Anderson) THIS AMENDED AND RESTATED STOCK OPTION AGREEMENT (this ?Agreement?), dated this 2nd day of March, 2015, by and between Novation Companies, Inc., a Maryland corporation (formerly known as NovaStar Financial, Inc., the ?Company?) and W. Lance Anderson, an individual employee of the Company (the ?Optionee?). The Com |
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| March 2, 2015 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Novation Companies, Inc., a Maryland corporation, and its subsidiaries ? NovaStar Certificates Financing Corporation, a Delaware corporation ? NFI Holding Corporation, a Delaware Corporation, and its subsidiaries ? NovaStar Asset Management Company, a Delaware corporation ? NovaStar Mortgage, Inc., a Virginia corporation, and its subsidiaries ? NovaStar |
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| March 2, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. (Exa |
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| March 2, 2015 |
NOVATION COMPANIES, INC. Code of Conduct Approved by the Board of Directors May 8, 2014 Exhibit 14.1 NOVATION COMPANIES, INC. Code of Conduct Approved by the Board of Directors May 8, 2014 Overview To keep the confidence and trust of our investors, customers and the general public, each of us must approach our work with integrity and an unwavering determination to act in accordance with the law and the highest standards of ethical conduct and fair dealing in all situations. This Code |
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| January 23, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 January 22, 2015 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organiza |
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| November 6, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, |
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| September 15, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 15, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organi |
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| September 9, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 9, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organiz |
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| September 9, 2014 |
novc8k09092014exhibit991 NOVATION COMPANIES, INC. Presentation to Shareholders September 9, 2014 Cautionary Notice about Forward-Looking Statements 2 This presentation contains, and our other communications may contain, forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements can be identified by the fact that they do not relate strict |
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| August 21, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 August 18, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organizat |
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| August 7, 2014 |
INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT is made and entered into this 24th day of July, 2014 (this ?Agreement?), by and between Novation Companies, Inc. |
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| August 7, 2014 |
INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT is made and entered into this 24th day of July, 2014 (this ?Agreement?), by and between Novation Companies, Inc. |
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| August 7, 2014 |
EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT, dated as of the th day of , 20, by and between Novation Companies, Inc. |
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| August 7, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| June 20, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 74-2830661 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identificatio |
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| June 20, 2014 |
EXHIBIT 4.2 FIRST AMENDMENT TO RIGHTS AGREEMENT THIS FIRST AMENDMENT TO RIGHTS AGREEMENT (the “Amendment”) is made as of June 20, 2014, between Novation Companies, Inc. formerly NovaStar Financial, Inc. (the “Company”), and Computershare Trust Company, N.A. (the “Rights Agent”). WHEREAS, the Company and the Rights Agent are parties to that certain Rights Agreement dated as of September 15, 2011 (t |
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| June 20, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 20, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organizatio |
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| June 19, 2014 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland (State or Other Jurisdiction of Incorporation or Organization) 74-2830661 (I.R.S. Employer Identification No.) 2114 Central Street, Suite 600 Kansas City, Missouri (Address of Principal Ex |
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| June 6, 2014 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 6, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organization |
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| June 6, 2014 |
novc8k06062014exhibit991 NOVATION COMPANIES, INC. Annual Shareholders Meeting June 6, 2014 Cautionary Notice about Forward-Looking Statements 2 This presentation contains, and our other communications may contain, forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements can be identified by the fact that they do not relate strictly to |
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| June 6, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 6, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organization |
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| May 30, 2014 |
NOVASTAR FINANCIAL, INC. 2004 INCENTIVE STOCK PLAN (as amended and restated effective August 9, 2011, and amended May 29, 2014) Section 1.General Purpose of Plan; Definitions. The name of this plan is the NovaStar Financial, Inc. 2004 Incentive Stock Plan (the “Plan”). The Plan was adopted by the Board on March 11, 2004 and approved by the Company’s stockholders on June 8, 2004. The purpose of the |
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| May 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 30, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organization |
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| May 30, 2014 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 8, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2014 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| April 30, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 30, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organizati |
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| April 30, 2014 |
novc8k4302014exhibit991 NOVATION COMPANIES, INC. Presentation to Shareholders April 30, 2014 Cautionary Notice about Forward-Looking Statements 2 This presentation contains, and our other communications may contain, forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements can be identified by the fact that they do not relate strictly t |
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| April 28, 2014 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 25, 2014 |
DEF14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o |
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| April 25, 2014 |
To the Shareholders of Novation Companies, Inc.: 8-K Exhibit 99.1 To the Shareholders of Novation Companies, Inc.: On April 16 we announced a significant strategic shift for Novation with the sale of StreetLinks and the decision to focus our resources primarily on the business of CorvisaCloud. Our strategy of investing in a variety of early-stage operating businesses was designed to find a business that would generate sufficient earnings for Nov |
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| April 25, 2014 |
DEF14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o |
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| April 25, 2014 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 25, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact Name of Registrant as Specified in Charter) Maryland 001-13533 74-2830661 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 23, 2014 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 23, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organizati |
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| April 23, 2014 |
Exhibit 99.1 CorvisaCloud Secures $30 Million in Funding Additional capital will fuel growth for cloud communications provider Milwaukee, Wis. - April 23, 2014 - Cloud-based communications provider, CorvisaCloud, LLC., today announced that it has secured $30 million in funding from parent company Novation Companies, Inc. (OTCQB: NOVC). The additional capital will be devoted to expanding CorvisaClo |
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| April 17, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 16, 2014 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of (Commission File Number) (I |
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| April 17, 2014 |
See accompanying notes to the unaudited pro forma consolidated financial statements Exhibit 99.2 NOVATION COMPANIES, INC. PRO FORMA CONSOLIDATED BALANCE SHEETS As of December 31, 2013 (Unaudited, dollars in thousands, except share and per share amounts) {e} Sale of Historical StreetLinks Pro Forma Assets Current Assets Cash and cash equivalents $ 9,267 $ 51,904 {a}{b} $ 61,171 Mortgage securities 3,728 — 3,728 Notes receivable, net 262 (90 ) {b} 172 Service fee receivable, net 5, |
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| April 17, 2014 |
PURCHASE AND SALE AGREEMENT by and among THE MEMBERS OF STREETLINKS LLC, NOVATION COMPANIES, INC. |
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| April 17, 2014 |
Novation Companies Sells StreetLinks for $60 Million Earn-out for additional payment of up to $12 million Kansas City, MO. |
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| February 28, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K NOVC 12.31.13 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2013 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION C |
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| February 28, 2014 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Novation Companies, Inc., a Maryland corporation, and its subsidiaries ? NovaStar Certificates Financing Corporation, a Delaware corporation ? NFI Holding Corporation, a Delaware Corporation, and its subsidiaries ? NovaStar Asset Management Company, a Delaware corporation ? NovaStar Mortgage, Inc., a Virginia corporation, and its subsidiaries ? NovaStar |
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| November 12, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 12, 2013 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organiz |
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| November 12, 2013 |
novc8k11122013exhibit991 NOVATION COMPANIES, INC. Third Quarter 2013 Shareholder Call Forward-looking Statements Information in this presentation, and any responses to questions during the question and answer period that will follow, may include statements that are forward-looking and based on current expectations. Please refer to our Quarterly Report filed on Form 10-Q for the quarter ended Septe |
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| November 8, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 November 8, 2013 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organiza |
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| November 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2013 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, |
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| August 6, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2013 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| May 8, 2013 |
Submission of Matters to a Vote of Security Holders - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 7, 2013 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organization) |
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| May 8, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2013 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| May 7, 2013 |
exhibit99-1 Novation Companies, Inc. Annual Shareholders Meeting May 7, 2013 Novation Financial Summary 2012 Q1 2013 Net Income 59.2 0.8 Tax benefit (expense) 63.5 (0.6) StreetLinks Contribution 6.5 2.3 Advent Contribution (1.4)* 1.2* Mango Contribution (4.0) (1.0) CorvisaCloud (0.4) (0.7) NCI (Securities income – corporate expenses) (4.7) (1.4) (Write-off)/Recovery of ITS Loan (1.0) 1.0 Gain on s |
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| May 7, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 7, 2013 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organization) |
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| April 4, 2013 |
Financial Statements and Exhibits, Other Events - AMENDMENT TO CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 3, 2013 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of (Commiss |
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| April 4, 2013 |
To the Shareholders of Novation Companies, Inc.: To the Shareholders of Novation Companies, Inc.: I’m pleased to report on the completion of our first full year under our new brand, Novation Companies, Inc. As I reflect back on the year, we had many things go right for us and we also had some things that did not go as we hoped. Key highlights for 2012, and the first quarter 2013, include: In February 2013, we made the decision to close down Mang |
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| April 3, 2013 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 3, 2013 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of (Commission File Number) (I. |
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| April 3, 2013 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 1, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2012 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. (Exa |
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| March 1, 2013 |
EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Novation Companies, Inc., a Maryland corporation, and its subsidiaries ? NovaStar Certificates Financing Corporation, a Delaware corporation ? NFI Holding Corporation, a Delaware Corporation, and its subsidiaries ? NovaStar Asset Management Company, a Delaware corporation ? NovaStar Mortgage, Inc., a Virginia corporation, and its subsidiaries ? NovaStar |
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| November 7, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2012 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, |
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| August 10, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2012 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVATION COMPANIES, INC. |
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| July 5, 2012 |
Exhibit 16.1 July 5, 2012 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4 of Novation Companies, Inc.'s (formerly known as NovaStar Financial Inc.) Form 8-K dated July 5, 2012, and have the following comments: 1. We agree with the statements made in Item 4(a). 2. We have no basis on which to agree or disagree with the statemen |
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| July 5, 2012 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 June 28, 2012 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organizatio |
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| May 24, 2012 |
For Immediate Release May 24, 2012 For more information, contact: Sarah Davis, Trozzolo Communications Group sdavis@trozzolo. |
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| May 24, 2012 |
Submission of Matters to a Vote of Security Holders - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 24, 2012 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of (Commission File Number) (I.R |
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| May 24, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 May 23, 2012 Date of Report (Date of earliest event reported) NOVATION COMPANIES, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of (Commission File Number) (I.R |
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| May 24, 2012 |
ARTICLES OF AMENDMENT (1) (2) NovaStar Financial, Inc. , a Maryland corporation hereby certifies to the State Department of Assessments and Taxation of Maryland that: (3) The charter of the corporation is hereby amended as follows: Article I of the Articles of Amendment and Restatement shall be amended to read as follows: ARTICLE I NAME The name of the corporation (the "Corporation") is: Novation |
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| May 24, 2012 | ||
| May 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2012 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVASTAR FINANCIAL, INC. |
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| April 19, 2012 |
Financial Statements and Exhibits, Other Events - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 April 18, 2012 Date of Report (Date of earliest event reported) NOVASTAR FINANCIAL, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of (Commission File Number) (I |
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| April 19, 2012 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 19, 2012 |
To the Shareholders of NovaStar Financial, Inc.: To the Shareholders of NovaStar Financial, Inc.: I am pleased to report good progress for the company during 2011 and the first quarter of 2012. Key highlights for this period include: We completed our capital restructuring in 2011. This was an essential step for survival and critical to allow the company to move forward and execute our business strategy. We appreciate the support of our sharehold |
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| March 15, 2012 |
EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT NovaStar Financial, Inc., a Maryland corporation, and its subsidiaries ? NovaStar Certificates Financing Corporation, a Delaware corporation ? NFI Holding Corporation, a Delaware Corporation, and its subsidiaries ? NovaStar Asset Management Company, a Delaware corporation ? NovaStar Mortgage, Inc., a Virginia corporation, and its subsidiaries ? NovaStar |
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| March 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year ended December 31, 2011 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVASTAR FINANCIAL, INC. (Exa |
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| March 9, 2012 |
EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT Exhibit 10.6 EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT, dated as of the 8th day of March, 2012, by and between NovaStar Financial, Inc., a Maryland corporation (the “Company”) and Brett Monger (the “Optionee”). WHEREAS, pursuant to the terms of the NovaStar Financial, Inc. 2004 Incentive Stock Plan, as amended (the “Plan”), the Compensation Committ |
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| March 9, 2012 |
EX-10.2 3 a3920128-kex102.htm EXHIBIT 10.2 Exhibit 10.2 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is made and entered into as of March 8, 2012 (the “Effective Date”), by and between NovaStar Financial, Inc. (the “Company”) and Steve Haslam (“Employee”). 1. EMPLOYMENT BY THE COMPANY 1.1Employment. The Company hereby employs Employee, and Employee hereby accepts employment with th |
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| March 9, 2012 |
EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT EX-10.3 4 a3920128-kex103.htm EXHIBIT 10.3 Exhibit 10.3 EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT EMPLOYEE NON-QUALIFIED STOCK OPTION AGREEMENT, dated as of the 8th day of March, 2012, by and between NovaStar Financial, Inc., a Maryland corporation (the “Company”) and Steve Haslam (the “Optionee”). WHEREAS, pursuant to the terms of the NovaStar Financial, Inc. 2004 Incentive Stock Plan, as ame |
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| March 9, 2012 |
NOVASTAR ANNOUNCES MANAGEMENT PROMOTIONS Exhibit 99.1 NOVASTAR ANNOUNCES MANAGEMENT PROMOTIONS KANSAS CITY, MO., March 9, 2012 - NovaStar Financial, Inc. (NOVS.PK) is pleased to announce the following promotions: Steve Haslam to Chief Operating Officer of NovaStar: Steve is Chief Executive Officer of StreetLinks LLC, a subsidiary of NovaStar, and will continue to hold this title in addition to his new role as COO of NovaStar. “Steve has |
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| March 9, 2012 |
MEMBERSHIP INTEREST PURCHASE AGREEMENT EX-10.1 2 a39128-kex101.htm EXHIBIT 10.1 Exhibit 10.1 MEMBERSHIP INTEREST PURCHASE AGREEMENT THIS MEMBERSHIP INTEREST PURCHASE AGREEMENT (this “Agreement”) dated March 8, 2012 (the “Effective Date”), is by and between NOVASTAR FINANCIAL, INC., a Maryland corporation (“Buyer”), and STEVE HASLAM, an individual (“Seller”). RECITALS WHEREAS, Seller owns 1,927 membership units (the “Membership Interest |
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| March 9, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 9, 2012 Date of Report (Date of earliest event reported) NOVASTAR FINANCIAL, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organizatio |
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| March 9, 2012 |
Exhibit 10.4 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is made and entered into as of March 2, 2012 (the “Effective Date”), by and between NovaStar Financial, Inc. (the “Company”) and Matthew Lautz (“Employee”). 1. EMPLOYMENT BY THE COMPANY 1.1Employment. The Company hereby employs Employee, and Employee hereby accepts employment with the Company, upon the terms and conditions s |
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| March 9, 2012 |
EX-10.5 6 a3920128-kex105.htm EXHIBIT 10.5 Exhibit 10.5 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is made and entered into as of March 1, 2012 (the “Effective Date”), by and between NovaStar Financial, Inc. (the “Company”) and Brett Monger (“Employee”). 1. EMPLOYMENT BY THE COMPANY 1.1Employment. The Company hereby employs Employee, and Employee hereby accepts employment with th |
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| March 6, 2012 |
Exhibit 10.1 NOVASTAR FINANCIAL, INC. 2004 INCENTIVE STOCK PLAN (as amended and restated effective August 9, 2011) Section 1. General Purpose of Plan; Definitions. The name of this plan is the NovaStar Financial, Inc. 2004 Incentive Stock Plan (the “Plan”). The Plan was adopted by the Board on March 11, 2004 and approved by the Company's stockholders on June 8, 2004. The purpose of the Plan is to |
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| March 6, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 March 1, 2012 Date of Report (Date of earliest event reported) NOVASTAR FINANCIAL, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organizatio |
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| November 9, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2011 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 001-13533 NOVASTAR FINANCIAL, |
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| October 11, 2011 |
EX-99.1 2 misc1.htm MISCELLANEOUS EXHIBITS (1) Jefferies Capital Partners LLC, a Delaware limited liability company (f/k/a Jefferies Capital Partners IV LLC) (the “Manager”) is making this filing on Form 4 on behalf of itself and on behalf of the following individuals and entities: Brian P. Friedman (“Mr. Friedman”), James L. Luikart (“Mr. Luikart”), JCP IV LLC, a Delaware limited liability compan |
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| October 11, 2011 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D Exhibit 1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13D The undersigned hereby agree that the Amendment No. |
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| October 11, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities and Exchange Act of 1934 (Amendment No. 4) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-1(a) NovaStar Financial, Inc. (Name of Issuer) Common Stock ($0.01 par value per share) (Title of Class of Secu |
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| September 21, 2011 |
EX-3.1 2 exhibit31articlessupplemen.htm EXHIBIT 3.1 Exhibit 3.1 ARTICLES SUPPLEMENTARY of SERIES F JUNIOR PARTICIPATING PREFERRED STOCK of NOVASTAR FINANCIAL, INC. (Pursuant to Section 2-201(c) of the Maryland General Corporation Law) NovaStar Financial, Inc., a corporation organized and existing under the General Corporation Law of the State of Maryland (hereinafter called the “Corporation”), her |
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| September 21, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 September 15, 2011 Date of Report (Date of earliest event reported) NOVASTAR FINANCIAL, INC. (Exact name of registrant as specified in its charter) Maryland 001-13533 74-2830661 (State or other jurisdiction of incorporation or organi |
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| September 21, 2011 |
Exhibit 4.1 NovaStar Financial, Inc. and Computershare Trust Company, N.A. Rights Agreement Dated as of September 15, 2011 TABLE OF CONTENTS Page Section 1. Definitions 1 Section 2. Appointment of Rights Agent 5 Section 3. Issue of Right Certificates 5 Section 4. Form of Right Certificates 8 Section 5. Countersignature and Registration 8 Section 6. Transfer, Split Up, Combination and Exchange of R |
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| September 21, 2011 |
Exhibit 4.1 NovaStar Financial, Inc. and Computershare Trust Company, N.A. Rights Agreement Dated as of September 15, 2011 TABLE OF CONTENTS Page Section 1. Definitions 1 Section 2. Appointment of Rights Agent 5 Section 3. Issue of Right Certificates 5 Section 4. Form of Right Certificates 8 Section 5. Countersignature and Registration 8 Section 6. Transfer, Split Up, Combination and Exchange of R |
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| September 21, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 NOVASTAR FINANCIAL, INC. (Exact name of registrant as specified in its charter) Maryland 74-2830661 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification |
