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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 NewtekOne, Inc.
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 26, 2025 |
preferredaugust2025xprf 1 NewtekOne, Inc. Closes Offering of Depositary Shares Each Representing 1/40th of an Interest in its Series 8.500% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series B Boca Raton, FL August 25, 2025 – On August 20, 2025, NewtekOne, Inc. (the “Company” or “NewtekOne”) (NASDAQ: NEWT) successfully closed an offering of 2,000,000 depositary shares (the “Deposita |
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| August 26, 2025 |
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 25, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| August 21, 2025 |
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 19, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| August 21, 2025 |
As filed with the Securities and Exchange Commission on August 21, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 21, 2025 |
exhibit43 Exhibit 4.3 GLOBAL REGISTERED RECEIPT Unless this receipt is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC”), to NewtekOne, Inc. or its agent for registration of transfer, exchange, or payment, and any certificate issued is registered in the name of Cede & Co. or in such other name as is requested by an authorized representative o |
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| August 21, 2025 |
exhibit41 Exhibit 4.1 DEPOSIT AGREEMENT among NEWTEKONE, INC. EQUINITI TRUST COMPANY, LLC as Depositary and THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN Dated as of August 20, 2025 -i- TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS Section 1.1 Definitions................................................................................................................1 AR |
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| August 21, 2025 |
exhibit31 Exhibit 3.1 NEWTEKONE, INC. ARTICLES SUPPLEMENTARY NEWTEKONE, INC., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland (the “Department”), that: FIRST: Section 5.1 of Article 5 of the amended and restated Articles of Incorporation of the Corporation (the “Articles of Incorporation”) authorizes the issuance of 200,0 |
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| August 21, 2025 |
exhibit42 Exhibit 4.2 Certificate No. [•] 8.500% FIXED-RATE REEST NON-CUMULATIVE PERPERTUAL PERFERRED STOCK, SERIES B [•] SHARES NEWTEKONE, INC. (THE “COMPANY”) ORGANIZED UNDER THE LAWS OF THE STATE OF MARYLAND THIS CERTIFIES THAT [•] IS THE OWNER OF [•] FULLY PAID AND NON-ASSESSABLE SHARES OF 8.500% FIXED-RATE RESET NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES B (“SERIES B PREFERRED STOCK”), |
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| August 15, 2025 |
Calculation of Filing Fee Tables S-3 NewtekOne, Inc. Table 1: Newly Registered and Carry Forward Securities ☑Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Eff |
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| August 15, 2025 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-269452 PROSPECTUS SUPPLEMENT (To Prospectus Dated July 27, 2023) 2,000,000 Depositary Shares Each Representing a 1/40th Interest in a Share of 8.500% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series B NewtekOne, Inc., a Maryland corporation (“NewtekOne” or the “Company”), is offering to sell 2,000,000 depositary shares, each re |
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| August 14, 2025 |
americas1105153403v6-new Exhibit 1.1 1 NEWTEKONE, INC. 2,000,000 Depositary Shares, Each Representing a 1/40th Interest in a Share of 8.500% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series B UNDERWRITING AGREEMENT August 13, 2025 Keefe, Bruyette & Woods, Inc. 787 Seventh Avenue, 4th Floor New York, New York 10019 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersbur |
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| August 14, 2025 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated August 13, 2025 Relating to Preliminary Prospectus Supplement dated August 13, 2025 and Prospectus dated July 27, 2023 Registration No. |
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| August 14, 2025 |
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 13, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| August 13, 2025 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-269452 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, but is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and is not soliciting an offer to buy these securities in any jurisdiction where the offer or sale |
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| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 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, 2025 OR 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: 814-01035 NEWTEKONE, INC. (Exac |
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| July 28, 2025 |
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 28, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| July 28, 2025 |
earningsreleaseq22025fi NewtekOne, Inc. Reports Basic and Diluted EPS of $0.53 and $0.52 for the Three Months Ended June 30, 2025 Boca Raton, Fla., July 28, 2025 - NewtekOne, Inc. (the "Company") (Nasdaq: NEWT) reports its financial and operating results for the three months ended June 30, 2025 ("2Q25"). Financial Highlights for 2Q25 • Basic and diluted earnings per share ("EPS") were $0.53 and $0 |
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| June 25, 2025 |
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 25, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 25, 2025 |
a2q25dividendannouncemen 1 NewtekOne, Inc. Declares a Quarterly Dividend of $0.19 per Share Boca Raton, FL June 25, 2025 - NewtekOne, Inc. (“the Company”) (NASDAQ: NEWT) announced that its Board of Directors declared a quarterly cash dividend of $0.19 per share on the outstanding common stock of NewtekOne. The dividend is payable on July 21, 2025, to shareholders of record as of July 9, 2025. Note |
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| June 16, 2025 |
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 16, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 6, 2025 |
NEWTEKONE, INC. 5,000,000 Shares of Common Stock Amended and Restated Equity Distribution Agreement TABLE OF CONTENTS SECTION PAGE Section 1. Introduction ........................................................................................................... 1 Section 2. Representations and Warranties of the Company ............................................. 2 Section 3. Placements ........ |
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| June 6, 2025 |
Up to 5,000,000 Shares NewtekOne, Inc. Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-269452 AMENDMENT NO.1 DATED JUNE 6, 2025 TO PROSPECTUS SUPPLEMENT DATED NOVEMBER 17, 2023 (To Prospectus Dated July 27, 2023) Up to 5,000,000 Shares NewtekOne, Inc. Common Stock This Amendment No. 1 (this “amendment”) amends our prospectus supplement dated November 17, 2023 (the “prospectus supplement”). This amendment should be read in conjunc |
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| June 6, 2025 |
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 June 6, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissio |
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| May 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 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, 2025 OR 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: 814-01035 NEWTEKONE, INC. (Exa |
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| May 12, 2025 |
NEWTEK BANK, NATIONAL ASSOCIATION EMPLOYMENT AGREEMENT WITH PETER DOWNS PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 22nd day of April 2025 (the “Effective Date”), by and between NEWTEK BANK, NATIONAL ASSOCIATION (the “Company”) and PETER DOWNS (the “Executive”). WHEREAS, the Executive is to be employed by the Company as President; and WHEREAS, the parties desire |
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| May 12, 2025 |
NEWTEKONE, INC. AMENDMENT TO EMPLOYMENT AGREEMENT WITH BARRY SLOANE This Amendment to Employment Agreement (the “Amendment”) is entered into as of the 1st day of January 2025 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and BARRY SLOANE (the “Executive”) (the Company and the Executive are collectively referred to herein as the “Parties”). WHEREAS, the Executive and the Co |
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| May 12, 2025 |
NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH FRANK DEMARIA PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 22nd day of April 2025 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and FRANK DEMARIA (the “Executive”). WHEREAS, the Executive is to be employed by the Company as Executive Vice President, Chief Financial Officer; and WHEREAS, the partie |
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| May 12, 2025 |
NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH MICHAEL A. SCHWARTZ PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 21st day of April 2025 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and MICHAEL A. SCHWARTZ (the “Executive”). WHEREAS, the Executive is currently employed by the Company as Chief Legal Officer and Corporate Secretary; and WHEREAS, |
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| May 6, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 6, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commission |
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| May 6, 2025 |
earningsreleaseq12025 Exhibit 99.1 1 NewtekOne, Inc. Reports Basic and Diluted EPS of $0.36 and $0.35 for the Three Months Ended March 31, 2025 EPS Exceeded NewtekOne's Projected $0.28-$0.32 Range Boca Raton, Fla., May 6, 2025 - NewtekOne, Inc. (the "Company") (Nasdaq: NEWT) reports its financial and operating results for the three months ended March 31, 2025 ("1Q25"). “In a challenging and fluid |
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| April 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 Filed by the Registrant x Filed by the Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials ¨ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 NEWTEKONE, INC. |
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| April 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 Filed by the Registrant S Filed by the Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) S Definitive Proxy Statement £ Definitive Additional Materials £ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 NEWTEKONE, INC. |
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| April 23, 2025 |
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, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commiss |
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| April 23, 2025 |
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, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commiss |
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| April 9, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 8, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| April 9, 2025 |
1 NewtekOne, Inc. Announces Balance Sheet Metrics for 1Q25 and Reiterates EPS Guidance for 2025 Boca Raton, FL, April 8, 2025 - NewtekOne, Inc. (the “Company”) (NASDAQ: NEWT) is pleased to provide the following preliminary loan and deposit metrics for its first quarter ending March 31, 2025: SBA 7(a) loans. In 1Q25, the Company originated 580 SBA 7(a) loans totaling $213 million, which compares |
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| April 1, 2025 |
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, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| March 31, 2025 |
1 NewtekOne, Inc. Declares a Quarterly Dividend of $0.19 per Share Boca Raton, FL March 31, 2025 - NewtekOne, Inc. (“the Company”) (NASDAQ: NEWT) announced that its Board of Directors declared a quarterly cash dividend of $0.19 per share on the outstanding common stock of NewtekOne. The dividend is payable on April 30, 2025, to shareholders of record as of April 15, 2025. Note Regarding Dividend P |
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| March 31, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 31, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commiss |
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| March 20, 2025 |
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 20, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commiss |
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| March 17, 2025 |
Description of Securities filed herewith. Exhibit 4.2 DESCRIPTION OF SECURITIES As of December 31, 2024, NewtekOne, Inc. (the “Company,” “we,” “our,” or “us”) had two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (1) our common stock and (2) our debt securities. Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Annual Report on Form 10-K to |
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| March 17, 2025 |
NewtekOne, Inc. Statement of Policy on Insider Trading 1 | P a g e NEWTEKONE, INC. STATEMENT OF POLICY ON INSIDER TRADING Introduction As an employee of NewtekOne, Inc. (the “Company”), a publicly traded company, or one of its subsidiaries,1 you may have access to confidential or non-public information about the Company and its subsidiaries, clients and other companies that conduct or seek to do business with us. You must protect this information from |
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| March 17, 2025 |
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 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR 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: 814-01035 NEWTEKONE, INC. (Exact na |
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| March 17, 2025 |
Subsidiaries of the Registrant filed herewith. NEWTEKONE, INC. SUBSIDIARIES Name of Company State of Incorporation/Organization CCC Real Estate Holdings, LLC Delaware CDS Business Services, Inc. dba Newtek Business Credit Solutions Delaware Mobil Money, LLC New York Newtek Bank, National Association Florida NBL SPV I, LLC Delaware NBL SPV II, LLC Delaware NBL SPV III, LLC Delaware NBSH Holdings, LLC New York Newtek Asset Backed Securities, LLC |
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| February 26, 2025 |
ye2024earningsreleasefin NewtekOne, Inc. Reports Full Year 2024 Earnings of $1.97 per Basic and $1.96 per Diluted Common Share Raises Full Year 2025 Earnings Forecast Range to $2.10 to $2.50 per Basic and Diluted Common Share Boca Raton, Fla., February 26, 2025 - NewtekOne, Inc. (Nasdaq: NEWT) reports its financial and operating results for the three and twelve months ended December 31, 2024. Newt |
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| February 26, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 February 26, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Comm |
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| January 6, 2025 |
1 Newtek Bank, N.A. Reaches Over $1.0 Billion in Deposits Grows Total Deposits by $884 Million in its First Two Years of Operations Boca Raton, FL January 6, 2025 - NewtekOne, Inc. (“the Company”) (NASDAQ: NEWT) announced today the following deposit metrics of Newtek Bank, N.A. (“Newtek Bank” or the “Bank”), its technology-enabled banking subsidiary, at December 31, 2024: - $1.03 billion in total |
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| January 6, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| January 3, 2025 |
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 3, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| January 2, 2025 |
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 2, 2025 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| December 16, 2024 |
1 NewtekOne, Inc. Declares a Quarterly Dividend of $0.19 per Share Boca Raton, FL December 16, 2024 - NewtekOne, Inc. (“the Company”) (NASDAQ: NEWT) announced that its Board of Directors declared a quarterly cash dividend of $0.19 per share on the outstanding common stock of NewtekOne. The dividend is payable on January 13, 2025, to shareholders of record as of December 31, 2024. Note Regarding Di |
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| December 16, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 13, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Comm |
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| December 11, 2024 |
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 6, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| December 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 6, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| December 6, 2024 |
1 NewtekOne, Inc. Forecasts Originating Approximately $1.4 Billion in Business Loans in 2024 In 2025, NewtekOne, Inc. Forecasts Originating Approximately $1.9 Billion in Business Loans Boca Raton, FL December 5, 2024 - NewtekOne, Inc. (“the Company”) (NASDAQ: NEWT) announced today that it affirmed its forecasts originating approximately $1.4 billion in business loans in 2024 across all of its loan |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 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, 2024 OR 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: 814-01035 NEWTEKONE, INC. |
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| November 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 6, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| November 6, 2024 |
NewtekOne, Inc. Reports Third Quarter 2024 Earnings of $0.45 per Basic and Diluted Common Share Growth in Deposits, Loans and Payments Segment Lead the Third Quarter 2024 Results Boca Raton, Fla., November 6, 2024 - NewtekOne, Inc. (Nasdaq: NEWT), reports its financial and operating results for the three and nine months ended September 30, 2024. NewtekOne Financial Highlights for the Three Months |
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| November 4, 2024 |
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 1, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| October 31, 2024 |
boardofdirectorspr 1 NewtekOne, Inc. Announces Appointment of a New Independent Director . Boca Raton, FL October 31, 2024 - NewtekOne, Inc. (NASDAQ: NEWT) announced today the appointment of Craig “CJ” Brunet as a member of the boards of directors of NewtekOne, Inc. and Newtek Bank N.A. Mr. Brunet’s career spans over 50 years with his experience rooted in the information technology and financial s |
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| October 31, 2024 |
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 31, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| October 8, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| October 8, 2024 |
1 Newtek Bank, N.A. Achieves 11.7% Deposit Growth in the Third Quarter 2024 Business Core Deposits Expected to Increase by 45% Boca Raton, FL October 8, 2024 - NewtekOne, Inc. (NASDAQ: NEWT) announced today that it expects to report deposits at Newtek Bank, N.A. of $742 million as of September 30, 2024; an expected sequential increase of 11.7% over $664 million at June 30, 2024, and an increase of |
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| October 3, 2024 |
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 3, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| October 3, 2024 |
loangrowthpressreleaseoc 1 NewtekOne, Inc. Achieves 17.3% Sequential Growth in Record Total Loan Closings in the Third Quarter 2024 over the Second Quarter 2024 Achieves SBA 7(a) Closings of $245.3 Million in the Third Quarter 2024 Boca Raton, FL October 3, 2024 - NewtekOne, Inc. (NASDAQ: NEWT) announced today that NewtekOne closed a record $371.8 million of loans across all loan products for the |
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| September 16, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 16, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Com |
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| September 16, 2024 | ||
| September 16, 2024 |
THIRD SUPPLEMENTAL INDENTURE between NEWTEKONE, INC. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of September 16, 2024 THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of September 16, 2024, is between NewtekOne, Inc., a Maryland corporation (the “Company”), and U.S. Bank Trust Company, National Association, as trustee (the “Trustee”). Ex |
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| September 16, 2024 |
As filed with the Securities and Exchange Commission on September 16, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 16, 2024 |
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 September 16, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Com |
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| September 11, 2024 |
$75,000,000 8.625% Fixed Rate Senior Notes due 2029 Filed Pursuant to Rule 424(b)(2) Registration No. 333-269452 PROSPECTUS SUPPLEMENT (To Prospectus Dated July 27, 2023) $75,000,000 8.625% Fixed Rate Senior Notes due 2029 NewtekOne, Inc., a Maryland corporation (“NewtekOne” or the “Company”), is offering $75,000,000 aggregate principal amount of Fixed Rate Senior Notes (the “Notes”). The Notes will bear interest at the rate of 8.625% per annum, pa |
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| September 11, 2024 |
Exhibit 107 The prospectus supplement to which this Exhibit is attached is a final prospectus for the related offering. The maximum aggregate offering price of that offering is $75,000,000 (or up to $86,250,000 aggregate offering price if the underwriters’ overallotment option to purchase additional Notes is exercised in full). |
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| September 10, 2024 |
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 September 9, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Comm |
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| September 10, 2024 |
Exhibit 1.1 1 NEWTEKONE, INC. $75,000,000 8.625% Fixed Rate Senior Notes due 2029 UNDERWRITING AGREEMENT September 9, 2024 Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 Keefe, Bruyette & Woods, Inc. 787 Seventh Avenue, 4th Floor New York, New York 10019 Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg, Florida 33716 UBS Securities LLC 1285 Avenue of the Americ |
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| September 9, 2024 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-269452 PROSPECTUS SUPPLEMENT (To Prospectus Dated July 27, 2023) This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, but is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and is not soliciting an offer to buy the |
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| September 9, 2024 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated September 9, 2024 Relating to Preliminary Prospectus Supplement dated September 9, 2024 and Prospectus dated July 27, 2023 Registration No. |
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| August 12, 2024 |
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 12, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| August 12, 2024 |
newtekprntsdivestiture NewtekOne Enters into Agreement to Sell Newtek Technology Solutions, Inc. |
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| August 9, 2024 |
NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH M. SCOTT PRICE PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 15th day of May 2024 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and M. SCOTT PRICE (the “Executive”). WHEREAS, the Executive is employed by the Company as Executive Vice President, Chief Financial Officer and also serves as the Chief F |
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| August 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 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, 2024 OR 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: 814-01035 NEWTEKONE, INC. (Exac |
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| August 5, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 5, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commiss |
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| August 5, 2024 |
NewtekOne, Inc. Reports Second Quarter 2024 Financial Results Newtek Bank, N.A. Demonstrates Loan and Deposit Growth Maintains its 2024 Annual EPS Forecast in a Range of $1.85 to $2.05 per Basic and Diluted Common Share Boca Raton, Fla., August 5, 2024 - NewtekOne, Inc. (Nasdaq: NEWT), reports its financial and operating results for the three and six months ended June 30, 2024. NewtekOne Financial |
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| July 24, 2024 |
1 NewtekOne, Inc. Closes $154,320,000 Alternative Business Loan Backed Securitization Boca Raton, FL July 23, 2024 - NewtekOne, Inc. (the “Company”) (NASDAQ: NEWT), announced today that its joint venture, Newtek-TSO II Conventional Credit Partners, LP (“Newtek- TSO”), has closed a securitization backed by alternative business loans, selling $137,170,000 of Class A Notes and $17,150,000 of Class B |
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| July 24, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 24, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 27, 2024 |
1 NewtekOne, Inc. Declares a Quarterly Dividend of $0.19 per Share Note Regarding Dividend Payments Amount and timing of dividends, if any, remain subject to the discretion of the Company's Board of Directors. About NewtekOne, Inc. NewtekOne®, Your Business Solutions Company®, is a financial holding company, which along with its bank and non-bank consolidated subsidiaries (collectively, “NewtekOne |
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| June 27, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 27, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 18, 2024 |
NEWTEKONE, INC. ARTICLES OF AMENDMENT NEWTEKONE, INC., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Article VI, Section 5.6 of the Articles of Amendment and Restatement of the Corporation filed on October 31, 2014 (the “Charter”) is hereby amended by deleting such Section 5.6 and replacing it in its entire |
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| June 18, 2024 |
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 18, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 13, 2024 |
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 12, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 4, 2024 |
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 May 30, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissio |
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| May 30, 2024 |
Exhibit 4.3 SECOND SUPPLEMENTAL INDENTURE between NEWTEKONE, INC. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of May 30, 2024 THIS SECOND SUPPLEMENTAL INDENTURE (this “Second Supplemental Indenture”), dated as of May 30, 2024, is between NewtekOne, Inc., a Maryland corporation (the “Company”), and U.S. Bank Trust Company, National Association, as trustee (the “Trustee”). |
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| May 30, 2024 |
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, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissio |
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| May 30, 2024 |
As filed with the Securities and Exchange Commission on May 30, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 28, 2024 |
1 NEWTEKONE, INC. $62,500,000 8.50% Fixed Rate Senior Notes due 2029 UNDERWRITING AGREEMENT May 22, 2024 Keefe, Bruyette, & Woods, Inc., As representative of the several Underwriters c/o Keefe, Bruyette & Woods, Inc. 787 7th Avenue New York, NY 10019 Ladies and Gentlemen: NewtekOne, Inc., a corporation organized under the laws of Maryland (the “Company”), confirms its agreements with Keefe, Bruyet |
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| May 28, 2024 |
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 May 22, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissio |
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| May 24, 2024 |
exhibit107filingfees Exhibit 107 The prospectus supplement to which this Exhibit is attached is a final prospectus for the related offering. The maximum aggregate offering price of that offering is $62,500,000 (or up to $71,875,000 aggregate offering price if the underwriters’ overallotment option to purchase additional Notes is exercised in full). |
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| May 24, 2024 |
8.50% Fixed Rate Senior Notes due 2029 Filed Pursuant to Rule 424(b)(2) Registration No. 333-269452 PROSPECTUS SUPPLEMENT (To Prospectus Dated July 27, 2023) $62,500,000 8.50% Fixed Rate Senior Notes due 2029 NewtekOne, Inc., a Maryland corporation (“NewtekOne” or the “Company”), is offering $62,500,000 aggregate principal amount of Fixed Rate Senior Notes (the “Notes”). The Notes will bear interest at the rate of 8.50% per annum, paya |
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| May 23, 2024 |
Pricing Terms NewtekOne, Inc. 8.50% Fixed Rate Senior Notes due 2029 Pricing Term Sheet May 22, 2024 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated May 22, 2024 Relating to Preliminary Prospectus Supplement dated May 22, 2024 and Prospectus dated July 27, 2023 Registration No. |
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| May 22, 2024 |
Filed Pursuant to Rule 424(b)(2) Registration No. 333-269452 PROSPECTUS SUPPLEMENT (To Prospectus Dated July 27, 2023) This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, but is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and is not soliciting an offer to buy the |
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| May 15, 2024 |
NEWT / NewtekOne, Inc. / Newtek Business Services Corp. - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 10) Under the Securities Exchange Act of 1934 NEWTEKONE, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 652526203 (CUSIP Number) Barry Sloane NewtekOne, Inc. 4800 T-Rex Avenue, Suite 120 Boca Raton, FL 33431 (212) 356-9500 With a copy to: Michael A. Schw |
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| May 10, 2024 |
Employment Agreement by and between NewtekOne, Inc., and NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH FRANK DEMARIA PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 29th day of March 2024 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and FRANK DEMARIA (the “Executive”). WHEREAS, the Executive is to be employed by the Company as Executive Vice President, Chief Accounting Officer; and WHEREAS, the parti |
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| May 10, 2024 |
Employment Agreement by and between NewtekOne, Inc., and NEWTEK SMALL BUSINESS FINANCE, LLC EMPLOYMENT AGREEMENT WITH PETER DOWNS PREAMBLE. |
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| May 10, 2024 |
mschwartzemploymentagree NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH MICHAEL A. SCHWARTZ PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 5th day of April 2024 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and MICHAEL A. SCHWARTZ (the “Executive”). WHEREAS, the Executive is currently employed by the Company as Chief Legal Officer and Corporate |
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| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 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, 2024 OR 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: 814-01035 NEWTEKONE, INC. (Exa |
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| May 10, 2024 |
Employment Agreement by and between NewtekOne, Inc., and bsloaneemploymentagreeme 116238/2 NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH BARRY SLOANE PREAMBLE. This Employment Agreement (the “Agreement”) is entered into as of the 5th day of April 2024 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and BARRY SLOANE (the “Executive”), effective immediately. WHEREAS, the Executive is currently employed by the Company as Chief Executive |
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| May 10, 2024 |
Employment Agreement by and between NewtekOne, Inc., and NEWTEK BANK, NATIONAL ASSOCIATION EMPLOYMENT AGREEMENT WITH NICOLAS YOUNG PREAMBLE. |
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| May 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 6, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commission |
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| May 6, 2024 |
Exhibit 99.1 1 NewtekOne, Inc. Reports First Quarter 2024 Financial Results Achieves Growth in Loans and Deposits in the First Quarter 2024 First Quarter 2024 Earnings per Share Beats Company’s Previously Issued Forecast; Company Raises Full Year 2024 Earnings per Share Forecast Boca Raton, Fla., May 6, 2024 - NewtekOne, Inc. (Nasdaq: NEWT), announced today its financial and operating results for |
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| April 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 Filed by the Registrant x Filed by the Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials ¨ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 NEWTEKONE, INC. |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 Filed by the Registrant S Filed by the Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) S Definitive Proxy Statement £ Definitive Additional Materials £ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 NEWTEKONE, INC. |
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| April 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 Filed by the Registrant S Filed by the Party other than the Registrant £ Check the appropriate box: S Preliminary Proxy Statement £ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) £ Definitive Proxy Statement £ Definitive Additional Materials £ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 NEWTEKONE, INC. |
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| April 5, 2024 |
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 5, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| April 1, 2024 |
CORRECTING and REPLACING NewtekOne, Inc. News Release Today NewtekOne, Inc. (“NewtekOne”) timely filed its annual report on Form 10-K for the period ended December 31, 2023. The purpose of this press release is to update and replace NewtekOne’s press release dated March 5, 2024, which announced NewtekOne’s unaudited fourth quarter and full year 2023 financial results. NewtekOne, Inc. Reports Fourt |
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| April 1, 2024 |
Subsidiaries of the Registrant filed herewith. NEWTEKONE, INC. SUBSIDIARIES Name of Company State of Incorporation/Organization CCC Real Estate Holdings, LLC Delaware CDS Business Services, Inc. dba Newtek Business Credit Solutions Delaware Mobil Money, LLC New York Newtek Bank, National Association Florida NBL SPV I, LLC Delaware NBL SPV II, LLC Delaware NBL SPV III, LLC Delaware NBSH Holdings, LLC New York Newtek Asset Backed Securities, LLC |
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| April 1, 2024 |
1 NewtekOne, Inc. Announces Loan Closings for the First Quarter 2024 Record Loan Approvals Across All Loan Products in First Quarter 2024 Strong Growth in Lending and Deposits in the First Quarter 2024 Boca Raton, FL April 1, 2024 - NewtekOne, Inc. (the “Company” or “NewtekOne”) (NASDAQ: NEWT), announced today that its nationally chartered bank subsidiary, Newtek Bank, N.A., closed $207.7 million |
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| April 1, 2024 |
newtekoneclawbackpolicy- -1- NEWTEKONE, INC. CLAWBACK POLICY I. BACKGROUND NewtekOne, Inc. (the “Company”) has adopted this policy (this “Policy”) to provide for the recovery or “clawback” of certain incentive compensation in the event of a Restatement (as defined below). This Policy is intended to comply with, and will be interpreted to be consistent with, the requirements of the Nasdaq Stock Mar |
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| April 1, 2024 |
Form of Restricted Stock Award Agreement - 2015 Stock Incentive Plan, filed herewith. 1 2015 STOCK INCENTIVE PLAN RESTRICTED STOCK AWARD AGREEMENT NOTICE OF GRANT Newtek Business Services Corp. |
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| April 1, 2024 |
NEWTEKONE, INC. CHANGE IN CONTROL AGREEMENT THIS CHANGE IN CONTROL AGREEMENT (this “Agreement”) is made by and between NEWTEKONE, INC. (the “Company”) and [*] (the “Executive”) (the Company and the Executive are each a “Party” and collectively, the “Parties”) and is entered into as of the [*] day of [*] (the “Effective Date”). WHEREAS, The Company and the Executive wish to enter into this Agreemen |
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| April 1, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| April 1, 2024 |
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, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| April 1, 2024 |
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 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR 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: 814-01035 NEWTEKONE, INC. (Exact na |
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| April 1, 2024 |
Description of Securities filed herewith. Exhibit 4.2 DESCRIPTION OF SECURITIES As of December 31, 2023, NewtekOne Inc. (the “Company,” “we,” “our,” or “us”) had two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (1) our common stock and (2) our debt securities. Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Annual Report on Form 10-K to w |
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| April 1, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 to CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 5, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Or |
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| March 19, 2024 |
1 NewtekOne, Inc. Declares a Quarterly Dividend of $0.19 per Share Boca Raton, FL March 19, 2024 - NewtekOne, Inc. (the “Company”) (NASDAQ: NEWT), today announced that its Board of Directors declared a quarterly cash dividend of $0.19 per share on the outstanding common stock of NewtekOne. The dividend is payable on April 15, 2024 to shareholders of record as of April 1, 2024. This represents a 5. |
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| March 19, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 19, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commiss |
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| March 15, 2024 |
SEC FILE NUMBER 001-36742 CUSIP NUMBER 652526203 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 5, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| March 6, 2024 |
NewtekOne, Inc. Reports Fourth Quarter and Full Year 2023 Financial Results Full Year 2023 Basic Earnings per Share of $1.71 and Diluted Earnings per Share of $1.70 Conference Call Tomorrow 8:30 AM ET Boca Raton, Fla., March 5, 2024 - NewtekOne, Inc. (Nasdaq: NEWT), announced today its financial and operating results for the three and twelve months ended December 31, 2023. This is NewtekOne's four |
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| February 13, 2024 |
NEWT / NewtekOne, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SC 13G 1 tv01546-newtekoneinc.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: NewtekOne Inc Title of Class of Securities: Common Stock CUSIP Number: 652526203 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this |
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| February 7, 2024 |
1 NewtekOne, Inc. Begins 2024 with Strong January Loan Pipeline Growth Boca Raton, FL February 5, 2024 - NewtekOne, Inc. (the “Company”) (NASDAQ: NEWT), announced today strong growth in its total loan pipeline, across all lending products, year-to-date through January 31, 2024, compared to the same period last year. The total pipeline consists of loans that are in the Company’s three lending stage |
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| February 7, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 February 6, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| January 26, 2024 |
NEWT / NewtekOne, Inc. / Newtek Business Services Corp. - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 9) Under the Securities Exchange Act of 1934 NEWTEKONE, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 652526203 (CUSIP Number) Barry Sloane NewtekOne, Inc. 4800 T-Rex Avenue, Suite 120 Boca Raton, FL 33431 (212) 356-9500 With a copy to: Michael A. Schwa |
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| January 9, 2024 |
Entry into a Material Definitive Agreement 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 9, 2024 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| December 11, 2023 |
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 December 11, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Comm |
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| December 11, 2023 |
1 NewtekOne, Inc. Declares a Quarterly Dividend of $0.18 per Share Boca Raton, FL December 11, 2023 - NewtekOne, Inc. (the “Company”) (NASDAQ: NEWT), today announced that its Board of Directors declared a quarterly cash dividend of $0.18 per share on the outstanding common stock of NewtekOne. The dividend is payable on January 12, 2024 to shareholders of record as of December 29, 2023. About Newte |
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| November 21, 2023 |
EXECUTION VERSION NEWTEKONE, INC. 3,000,000 Shares of Common Stock Equity Distribution Agreement TABLE OF CONTENTS SECTION PAGE Section 1. Introduction ........................................................................................................... 1 Section 2. Representations and Warranties of the Company ............................................. 2 Section 3. Placements ........... |
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| November 21, 2023 |
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 November 17, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Comm |
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| November 17, 2023 |
Up to 3,000,000 Shares NewtekOne, Inc. Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-269452 PROSPECTUS SUPPLEMENT (To Prospectus Dated July 27, 2023) Up to 3,000,000 Shares NewtekOne, Inc. Common Stock We have entered into an Equity Distribution Agreement, dated November 17, 2023 (the “Equity Distribution Agreement”) with Keefe, Bruyette & Woods, Inc., B. Riley Securities, Inc., Compass Point Research & Trading, LLC, Ladenburg |
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| November 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 13, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Co |
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| November 13, 2023 |
Exhibit 99.1 NewtekOne, Inc. Reports Third Quarter 2023 Financial Results Company Focuses on Quarter-over-Quarter Sequential Growth Conference Call Tomorrow 8:30 AM ET Boca Raton, Fla., November 7, 2023 - NewtekOne, Inc. (Nasdaq: NEWT), announced today its financial and operating results for the three and nine months ended September 30, 2023. This is NewtekOne's third quarter reporting, and second |
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| November 9, 2023 |
1 2023 STOCK INCENTIVE PLAN RESTRICTED STOCK AWARD AGREEMENT NewtekOne, Inc. (the “Company”) hereby grants to [*] (the “Participant”), an award (the “Award”) of restricted shares of Company Common Stock, par value $0.02 per share (the “Restricted Stock”) subject to the fulfillment of the vesting conditions and other conditions set forth in this Restricted Stock Award Agreement (the “Award Agreemen |
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| November 9, 2023 |
NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH M. SCOTT PRICE PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 16th day of May 2023 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”), NEWTEK BANK, NATIONAL ASSOCIATION (the “Bank”) and M. SCOTT PRICE (the “Executive”). WHEREAS, the Executive is to be employed as the Chief Financial Officer of the Compan |
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| November 9, 2023 |
1 AMENDMENT TO EMPLOYMENT AGREEMENT This AMENDMENT TO EMPLOYMENT AGREEMENT (“Amendment”) is entered into on July 7, 2023 and is effective as of July 1, 2023 (the “Amendment Effective Date”), by and between NewtekOne, Inc. |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 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, 2023 OR 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: 814-01035 NEWTEKONE, INC. |
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| November 7, 2023 |
Exhibit 99.1 NewtekOne, Inc. Reports Third Quarter 2023 Financial Results Company Focuses on Quarter-over-Quarter Sequential Growth Conference Call Tomorrow 8:30 AM ET Boca Raton, Fla., November 7, 2023 - NewtekOne, Inc. (Nasdaq: NEWT), announced today its financial and operating results for the three and nine months ended September 30, 2023. This is NewtekOne's third quarter reporting, and second |
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| November 7, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 7, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| October 2, 2023 |
q3sba7aloanfundingpressr 1 NewtekOne, Inc. Achieves Record SBA 7(a) Loan Closings in the Third Quarter 2023 Boca Raton, FL October 2, 2023 - NewtekOne, Inc. (the “Company” or “NewtekOne”) (NASDAQ: NEWT), announced today that its nationally chartered bank subsidiary, Newtek Bank, N.A., closed a record $218.0 million of SBA 7(a) loans for the three months ended September 30, 2023, which represents a |
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| October 2, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 2, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| September 28, 2023 |
thirdquarter2023dividend 1 NewtekOne, Inc. Declares a Quarterly Dividend of $0.18 per Share Boca Raton, FL September 27, 2023 - NewtekOne, Inc. (the “Company”) (NASDAQ: NEWT), today announced that its Board of Directors declared a quarterly cash dividend of $0.18 per share on the outstanding common stock of NewtekOne. The dividend is payable on October 20, 2023 to shareholders of record as of Octo |
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| September 28, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 27, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Com |
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| September 1, 2023 |
As filed with the Securities and Exchange Commission on September 1, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 31, 2023 |
ex42firstsupplementinden FIRST SUPPLEMENTAL INDENTURE between NEWTEKONE, INC. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of August 31, 2023 THIS FIRST SUPPLEMENTAL INDENTURE (this “First Supplemental Indenture”), dated as of August 31, 2023, is between NewtekOne, Inc., a Maryland corporation (the “Company”), and U.S. Bank Trust Company, National Association, as trustee |
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| August 31, 2023 |
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 August 31, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| August 31, 2023 |
ex41baseindenture NEWTEKONE, INC., ISSUER AND U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, TRUSTEE SENIOR DEBT SECURITIES INDENTURE Dated as of August 31, 2023 -i- TABLE OF CONTENTS Page ARTICLE I Definitions and Other Provisions of General Application ......................................................................... 1 Section 1.1 Definitions ............................................. |
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| August 28, 2023 |
1 NEWTEKONE, INC. $35,000,000 8.00% Fixed Rate Senior Notes due 2028 UNDERWRITING AGREEMENT August 24, 2023 Piper Sandler & Co., As representative of the several Underwriters c/o Piper Sandler & Co. 1251 Avenue of the Americas, 6th Floor New York, NY 10020 Ladies and Gentlemen: NewtekOne, Inc., a corporation organized under the laws of Maryland (the “Company”), confirms its agreements with Piper S |
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| August 28, 2023 |
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 August 28, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| August 28, 2023 |
exhibit107 Exhibit 107 The prospectus supplement to which this Exhibit is attached is a final prospectus for the related offering. The maximum aggregate offering price of that offering is $35,000,000 (or up to $40,250,000 aggregate offering price if the underwriters’ overallotment option to purchase additional Notes is exercised in full). |
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| August 28, 2023 |
8.00% Fixed Rate Senior Notes due 2028 Filed Pursuant to Rule 424(b)(2) Registration No. 333-269452 PROSPECTUS SUPPLEMENT (To Prospectus Dated July 27, 2023) $35,000,000 8.00% Fixed Rate Senior Notes due 2028 NewtekOne, Inc., a Maryland corporation (“NewtekOne” or the “Company”), is offering $35,000,000 aggregate principal amount of Fixed Rate Senior Notes (the “Notes”). The Notes will bear interest at the rate of 8.00% per annum, paya |
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| August 24, 2023 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated August 24, 2023 Relating to Preliminary Prospectus Supplement dated August 24, 2023 and Prospectus dated July 27, 2023 Registration No. |
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| August 24, 2023 |
Subject to Completion. Preliminary Prospectus Supplement Dated August 24, 2023. Filed Pursuant to Rule 424(b)(2) Registration No. 333-269452 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, but is not complete and may be changed. This preliminary prospectus supplement is not an offer to sell these securities and is not soliciting an offer to buy these securities in any jurisdiction where the offer or sale |
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| August 24, 2023 |
Results of Operations and Financial Condition 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, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commis |
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| August 8, 2023 |
Exhibit 99.1 NewtekOne, Inc. Reports Second Quarter 2023 Financial Results; Conference Call Tomorrow 8:30 AM ET Newtek Bank, N.A. Achieves Record Deposit Growth and Loan Fundings Boca Raton, Fla., August 2, 2023 - NewtekOne, Inc. (Nasdaq: NEWT), announced today its financial and operating results for the three and six months ended June 30, 2023. This is NewtekOne's second quarter reporting, and fi |
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| August 8, 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 August 8, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commiss |
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| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 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, 2023 OR 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: 814-01035 NEWTEKONE, INC. (Exac |
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| August 7, 2023 |
NewtekOne 2023 Employee Stock Purchase P newtekone-espp 4859-5800-0731 v.2 NEWTEKONE, INC. 2023 EMPLOYEE STOCK PURCHASE PLAN 1. PURPOSE. (a) The purpose of this Employee Stock Purchase Plan (as amended from time to time, the “Plan”) is to promote the financial interests of NewtekOne, Inc. and its successors (the “Company”), including its growth and performance, by providing Eligible Employees (as defined herein) the opportunity to purcha |
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| August 7, 2023 |
NewtekOne 2023 Stock Incentive Plan, filed herewith. newtekone-2023stockincen 1 NEWTEKONE, INC. 2023 STOCK INCENTIVE PLAN 1. PURPOSE OF THE PLAN. The purpose of this Plan is to advance the interests of NewtekOne, Inc. (the “Company”) through providing select Employees and Directors of the Company with the opportunity to acquire Common Stock and Restricted Stock. By encouraging such stock ownership, the Company seeks to attract, retain and motivate t |
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| August 2, 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 August 2, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commiss |
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| August 2, 2023 |
Exhibit 99.1 NewtekOne, Inc. Reports Second Quarter 2023 Financial Results; Conference Call Tomorrow 8:30 AM ET Newtek Bank, N.A. Achieves Record Deposit Growth and Loan Fundings Boca Raton, Fla., August 2, 2023 - NewtekOne, Inc. (Nasdaq: NEWT), announced today its financial and operating results for the three and six months ended June 30, 2023. This is NewtekOne's second quarter reporting, and fi |
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| July 25, 2023 |
NEWTEKONE, INC. 4800 T Rex Avenue, Suite 120 Boca Raton, Florida 33431 (212) 356-9500 NEWTEKONE, INC. 4800 T Rex Avenue, Suite 120 Boca Raton, Florida 33431 (212) 356-9500 July 25, 2023 Via EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Finance Attention: Madeleine Mateo and Tonya Aldave 100 F. Street, N.E. Washington, D.C. 20549 Re: NewtekOne, Inc. Registration Statement on Form S-3 Filed: July 21, 2023 File No. 333-269452 Ladies a |
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| July 21, 2023 |
VIA EDGAR July 21, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Finance Attention: Madeleine Mateo and Tonya Aldave 100 F Street, N.E. Washington, D.C. 20549 Re: NewtekOne, Inc. Amendment No. 3 to Registration Statement on Form S-3 Filed: April 21, 2023 File No. 333-269452 Ladies and Gentlemen: On behalf of NewtekOne, Inc. (the “Company”), set forth below |
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| July 21, 2023 |
As filed with the Securities and Exchange Commission on July 21, 2023 As filed with the Securities and Exchange Commission on July 21, 2023 Registration No. |
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| July 7, 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 July 7, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissio |
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| July 6, 2023 |
pressrelease7-5x23 1 NewtekOne Reports Record Number of SBA 7(a) Loans Funded For the Second Quarter 2023 Company Provides Second Quarter 2023 Updates on Key Performance Metrics Boca Raton, FL July 5, 2023 - NewtekOne, Inc. |
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| July 6, 2023 |
VIA EDGAR July 6, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Finance Attention: Madeleine Mateo and Tonya Aldave 100 F Street, N.E. Washington, D.C. 20549 Re: NewtekOne, Inc. Amendment No. 3 to Registration Statement on Form S-3 Filed: April 21, 2023 File No. 333-269452 Ladies and Gentlemen: On behalf of NewtekOne, Inc. (the “Company”), set forth below a |
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| July 6, 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 July 5, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissio |
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| July 3, 2023 |
NewtekOne, Inc. 2023 Stock Incentive Plan newtek-2023stockincentiv PROSPECTUS NEWTEKONE, INC. Common Stock Offered pursuant to the 2023 STOCK INCENTIVE PLAN THIS DOCUMENT CONSTITUTES PART OF A PROSPECTUS COVERING SECURITIES THAT HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933. This prospectus relates to the offering by NewtekOne, Inc. (the “Company”) to select employees and directors of the Company and its subsidiaries up to 3,000,0 |
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| July 3, 2023 |
As filed with the Securities and Exchange Commission on July 3, 2023. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NEWTEKONE, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (IRS Employer Ide |
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| July 3, 2023 |
EXHIBIT 107 Calculation of Filing Fee Tables Form S-8 (Form Type) NewtekOne, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1—Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.02 per |
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| July 3, 2023 |
NewtekOne, Inc. 2023 Employee Stock Purchase Plan newtek-2023employeestock PROSPECTUS NEWTEKONE, INC. Common Stock Offered pursuant to the 2023 EMPLOYEE STOCK PURCHASE PLAN THIS DOCUMENT CONSTITUTES PART OF A PROSPECTUS COVERING SECURITIES THAT HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933. This prospectus covers offers and sales, from time to time, by NewtekOne, Inc. and its successors (collectively, the “Company”) to certain eligible em |
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| July 3, 2023 |
As filed with the Securities and Exchange Commission on June 3, 2023. Registration No. 333-212679 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 POST-EFFECTIVE AMENDMENT NO. 1 TO Form S-8 Registration Statement No. 333-212679 UNDER THE SECURITIES ACT OF 1933 NEWTEKONE, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 46-3755188 (State or Other |
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| June 27, 2023 |
quarterlydividend2023pre 1 NewtekOne, Inc. Declares a Quarterly Dividend of $0.18 per Share Boca Raton, FL June 27, 2023 - NewtekOne, Inc. (the “Company”) (NASDAQ: NEWT), today announced that its Board of Directors declared a quarterly cash dividend of $0.18 per share on the outstanding common stock of NewtekOne. The dividend is payable on July 21, 2023 to shareholders of record as of July 10, 202 |
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| June 27, 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 June 27, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 26, 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 June 26, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 26, 2023 |
newtek-russellindexpress 1 NewtekOne, Inc. Joins the Russell 3000® and Russell 2000® Indexes Boca Raton, FL, June 26, 2023 NewtekOne, Inc. (Nasdaq: NEWT), announced today that it has joined the broad-market Russell 3000 Index and the small-cap Russell 2000® Index following the conclusion of the Russell indexes annual reconstitution for 2023, effective upon today’s US market open. The annual Russe |
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| June 20, 2023 |
Value (millions) (as of March 31, 2023) VIA EDGAR June 20, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Finance Attention: Madeleine Mateo and Tonya Aldave 100 F Street, N.E. Washington, D.C. 20549 Re: NewtekOne, Inc. Amendment No. 3 to Registration Statement on Form S-3 Filed: April 21, 2023 File No. 333-269452 Ladies and Gentlemen: On behalf of NewtekOne, Inc. (the “Company”), set forth below |
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| June 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 June 16, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 14, 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 June 14, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| June 14, 2023 |
securitizationrelease202 1 NewtekOne Closed its 12th S&P-Rated Loan Securitization of $103. |
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| May 30, 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 May 30, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissio |
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| May 19, 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 May 19, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissio |
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| May 18, 2023 |
VIA EDGAR May 18, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Finance Attention: Madeleine Mateo and Tonya Aldave 100 F Street, N.E. Washington, D.C. 20549 Re: NewtekOne, Inc. Amendment No. 3 to Registration Statement on Form S-3 Filed: April 21, 2023 File No. 333-269452 Ladies and Gentlemen: On behalf of NewtekOne, Inc. (the “Company”), set forth below a |
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| May 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 May 16, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissio |
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| May 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 Filed by the Registrant x Filed by the Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials ¨ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 NEWTEKONE, INC. |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 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, 2023 OR 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: 814-01035 NEWTEKONE, INC. (Exa |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition Perio |
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| May 9, 2023 |
newtekearningsreleaseq12 1 NewtekOne, Inc. Reports First Quarter 2023 Net Income of $11.7 million, or $0.46 per Basic Share Reiterated Previously Issued Earnings Forecast for the Full Year 2023 in a Range of $1.70 to $2.00 of Earnings per Share Boca Raton, Fla., May 8, 2023 - NewtekOne, Inc. (Nasdaq: NEWT), announced today its financial and operating results for the three months ended March 31, 20 |
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| May 9, 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 May 9, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commission |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 Filed by the Registrant S Filed by the Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) S Definitive Proxy Statement £ Definitive Additional Materials £ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 NEWTEKONE, INC. |
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| May 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 Filed by the Registrant S Filed by the Party other than the Registrant £ Check the appropriate box: £ Preliminary Proxy Statement £ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) S Definitive Proxy Statement £ Definitive Additional Materials £ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 NEWTEKONE, INC. |
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| April 21, 2023 |
VIA EDGAR April 21, 2023 U.S. Securities and Exchange Commission 100 F Street, N.E. Division of Corporation Finance Washington, D.C. 20549 Attention: Madeline Joy Mateo, Tonya K. Aldave, William Schroeder and Ben Phippen Re: Re: NewtekOne, Inc. Registration Statement on Form S-3 Filed January 27, 2023 (as amended by Amendment No. 1 filed on March 6, 2023 and Amendment No. 2 filed on March 31, 2023 |
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| April 21, 2023 |
As filed with the Securities and Exchange Commission on April 21, 2023 As filed with the Securities and Exchange Commission on April 21, 2023 Registration No. |
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| April 19, 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 April 19, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commiss |
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| April 6, 2023 |
q12023kpipr 1 NewtekOne, Inc.’s CEO Updates the Market on First Quarter 2023 Key Performance Indicators Boca Raton, FL, April 4, 2023 – NewtekOne, Inc. ((NASDAQ: NEWT) (the “Company” or “NewtekOne”) updates the investment community on the Company’s key performance indicators for the first quarter of 2023. Barry Sloane, Chairman, President and Chief Executive Officer said, “In advance of reporting |
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| April 6, 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 April 6, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| March 31, 2023 |
As filed with the Securities and Exchange Commission on March 31, 2023 As filed with the Securities and Exchange Commission on March 31, 2023 Registration No. |
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| March 31, 2023 |
newtekoneinc-seniorformo Exhibit [•] NEWTEKONE, INC., ISSUER AND SENIOR DEBT SECURITIES INDENTURE Dated as of [•] TABLE OF CONTENTS Page ARTICLE I Definitions and Other Provisions of General Application ......................................................................... 1 Section 1.1 Definitions ................................................................................................. |
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| March 31, 2023 |
VIA EDGAR March 31, 2023 U.S. Securities and Exchange Commission 100 F Street, N.E. Division of Corporation Finance Washington, D.C. 20549 Attention: Madeline Joy Mateo, Tonya K. Aldave, William Schroeder and Ben Phippen Re: Re: NewtekOne, Inc. Registration Statement on Form S-3 Filed January 27, 2023 (as amended by Amendment No. 1 filed on March 6, 2023) File No. 333-269452 Ladies and Gentlemen: |
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| March 31, 2023 |
newtekoneinc-formofinden 4861-1340-7575 v.2 Exhibit 4.18 NEWTEKONE, INC., ISSUER AND SUBORDINATED DEBT SECURITIES INDENTURE Dated as of -i- 4861-1340-7575 v.2 TABLE OF CONTENTS Page ARTICLE I Definitions and Other Provisions of General Application ......................................................................... 1 Section 1.1 Definitions .................................................... |
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| March 16, 2023 |
Subsidiaries of the Registrant filed herewith. NEWTEKONE INC. SUBSIDIARIES Name of Company State of Incorporation/Organization CCC Real Estate Holdings, LLC Delaware Exponential Business Development Co., Inc. New York NBSH Holdings, LLC New York Newtek Asset Backed Securities, LLC New York Newtek Business Services Holdco 1, Inc. (surviving entity of January 2021 merger with Newtek Business Services Holdco 2, Inc.) New York Newtek Business Serv |
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| March 16, 2023 |
nblllcsubs2021auditedfs Newtek Business Lending, LLC and Subsidiaries Consolidated Financial Statements and Independent Auditor’s Report December 31, 2021 and 2020 Page: Independent Auditor’s Report 1 - 2 Consolidated Financial Statements Consolidated Statements of Financial Position as of December 31, 2021 and 2020 3 Consolidated Statements of Operations for the years ended December 31, 2021 and |
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| March 16, 2023 |
nblauditedconsolidatedfi Newtek Business Lending, LLC and Subsidiaries Consolidated Financial Statements and Independent Auditor’s Report December 31, 2022 and 2021 Page: Independent Auditor’s Report 1 - 2 Consolidated Financial Statements Consolidated Statements of Financial Position as of December 31, 2022 and 2021 3 Consolidated Statements of Operations for the years ended December 31, 2022 and |
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| March 16, 2023 |
by and between Newtek Small Business Finance and employmentagreementpeter NEWTEK SMALL BUSINESS FINANCE, LLC EMPLOYMENT AGREEMENT WITH PETER DOWNS PREAMBLE. |
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| March 16, 2023 |
Michael A. Schwartz, dated March employmentagreementmicha NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH MICHAEL A. SCHWARTZ PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 1st day of March 2023 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and MICHAEL A. SCHWARTZ (the “Executive”). WHEREAS, the Executive is currently employed by the Company as Chief Legal Officer, Chief Complia |
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| March 16, 2023 |
Employment Agreement by and between NewtekOne and Barry Sloane, dated March 1, 2023 filed herewith. employmentagreementbarry 116238/2 NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH BARRY SLOANE PREAMBLE. This Employment Agreement (the “Agreement”) is entered into as of the 1st day of March 2023 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and BARRY SLOANE (the “Executive”), effective immediately. WHEREAS, the Executive is currently employed by the Company as Chief Executive |
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| March 16, 2023 |
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 (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR 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: 814-01035 NEWTEKONE, INC |
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| March 16, 2023 |
nmsdecemeber312022financ Newtek Merchant Solutions, LLC and Subsidiary (A Wholly-owned Subsidiary of NBSH Holdings, LLC Consolidated Financial Statements and Independent Auditor’s Report December 31, 2022 Page: Independent Auditor’s Report 1-2 Consolidated Financial Statements Consolidated Balance Sheet 3 Consolidated Statement of Income 4 Consolidated Statement of Changes in Member's Equity 5 Con |
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| March 16, 2023 |
and Nicolas Young dated as of January 6, 2023, filed herewith. employmentagreementnicol NEWTEK BANK, NATIONAL ASSOCIATION EMPLOYMENT AGREEMENT WITH NICOLAS YOUNG PREAMBLE. |
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| March 16, 2023 |
Limited Waiver Agreement, dated February 28, 2023 capitalonenewtek7a-waive 145883846v2 LIMITED WAIVER AGREEMENT This Limited Waiver Agreement (this “Agreement”), dated as of February 28, 2023 (the “Effective Date”), is entered into by and among NEWTEK SMALL BUSINESS FINANCE, LLC, a New York limited liability company (“Borrower”), CCC REAL ESTATE HOLDING CO. |
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| March 16, 2023 |
Description of Securities filed herewith. Exhibit 4.2 DESCRIPTION OF SECURITIES As of December 31, 2022, NewtekOne, Inc. (the “Company,” “we,” “our,” or “us”) had two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (1) our common stock and (2) our debt securities. Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Annual Report on Form 10-K to |
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| March 16, 2023 |
Employment Agreement by and between NewtekOne and employmentagreementnicho NEWTEKONE, INC. EMPLOYMENT AGREEMENT WITH NICHOLAS J. LEGER PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 1st day of March 2023 (the “Effective Date”), by and between NEWTEKONE, INC. (the “Company”) and NICHOLAS J. LEGER (the “Executive”). WHEREAS, the Executive is employed by the Company as Executive Vice President and Chief Accounting Of |
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| March 16, 2023 |
nmsdecember312021financi Newtek Merchant Solutions, LLC and Subsidiary (A Wholly-owned Subsidiary of NBSH Holdings, LLC Consolidated Financial Statements and Independent Auditor’s Report December 31, 2021 Newtek Merchant Solutions, LLC and Subsidiary Index Year Ended December 31, 2021 Page: Independent Auditor’s Report 1-2 Consolidated Financial Statements Consolidated Balance Sheet 3 Consolidated |
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| March 16, 2023 |
Report of Independent Registered Public Accounting Firm on Supplemental Information filed herewith. a995reportofindependentr 1 Report of Independent Registered Public Accounting Firm Board of Directors and Shareholders NewtekOne, Inc. |
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| March 6, 2023 |
March 6, 2023 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Division of Corporation Finance Washington, D.C. 20549 Attention: Madeline Joy Mateo, Tonya K. Aldave, William Schroeder and Ben Phippen Re: Re: NewtekOne, Inc. Amendment No. 1 to Registration Statement on Form S-3/A Filed March 3, 2023 File No. 333-269452 Ladies and Gentlemen: NewtekOne, Inc. (the “Company”) hereby |
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| March 6, 2023 |
As filed with the Securities and Exchange Commission on March 3, 2023 As filed with the Securities and Exchange Commission on March 3, 2023 Registration No. |
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| March 6, 2023 |
capitalonenewtek7a-waive 145883846v2 LIMITED WAIVER AGREEMENT This Limited Waiver Agreement (this “Agreement”), dated as of February 28, 2023 (the “Effective Date”), is entered into by and among NEWTEK SMALL BUSINESS FINANCE, LLC, a New York limited liability company (“Borrower”), CCC REAL ESTATE HOLDING CO. |
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| March 6, 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 March 6, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commissi |
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| March 3, 2023 |
Exhibit 107 Calculation of Filing Fee Table FORM S-3 (Form Type) NEWTEKONE, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Fo |
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| March 3, 2023 |
March 3, 2023 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Division of Corporation Finance Washington, D.C. 20549 Attention: Madeline Joy Mateo, Tonya K. Aldave, William Schroeder and Ben Phippen Re: Re: NewtekOne, Inc. Registration Statement on Form S-3 Filed January 27, 2023 File No. 333-269452 Amended Form 8-K Filed January 27, 2023 File No. 001-36742 Ladies and Gentleme |
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| March 3, 2023 |
As filed with the Securities and Exchange Commission on March 3, 2023 As filed with the Securities and Exchange Commission on March 3, 2023 Registration No. |
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| February 27, 2023 |
NewtekOne, Inc. Declares Quarterly Dividend of $0.18 per Share EX-99.1 2 feb272023dividendpressrele.htm EX-99.1 NewtekOne, Inc. Declares Quarterly Dividend of $0.18 per Share Boca Raton, FL, February 27, 2023 - NewtekOne, Inc., (the “Company”) (NASDAQ: NEWT), today announced that its Board of Directors declared a quarterly cash dividend of $0.18 per share, payable on April 14, 2023 to shareholders of record as of April 4, 2023. NewtekOne®, Your Business Solut |
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| February 27, 2023 |
Exhibit 99.1 NewtekOne, Inc. Reports Fourth Quarter and Full Year 2022 Financial Results Company Declares First Quarterly Dividend as a Financial Holding Company of $0.18 per Share Exceeding Previous Projections of $0.16 per Share and Refreshes its 2023 and 2024 Financial Holding Company Projections Boca Raton, Fla., February 27, 2023 - NewtekOne, Inc. (Nasdaq: NEWT) (the "Company"), announced tod |
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| February 27, 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 February 27, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Comm |
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| February 27, 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 February 27, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Comm |
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| February 7, 2023 |
REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of February 3, 2023, by and among NewtekOne, Inc. |
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| February 7, 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 February 7, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 001-36742 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| February 7, 2023 |
WARRANT BOTH THESE SECURITIES AND THE SHARES INTO WHICH THESE SECURITIES ARE EXERCISABLE HAVE BEEN ACQUIRED FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”) NOR ANY APPLICABLE STATE SECURITIES LAW (THE “STATE ACTS”), AND MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED OR OTHERWISE DISPOSED OF UNLESS AND UNTIL |
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| February 7, 2023 |
NEWTEKONE, INC. ARTICLES SUPPLEMENTARY NEWTEKONE, INC., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland (the “Department”), that: FIRST: Section 5.1 of Article 5 of the amended and restated charter of the Corporation (the “Charter”) authorizes the issuance of two hundred million (200,000,000) shares of the Corporation’s s |
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| February 7, 2023 |
NEWTEKONE, INC. INVESTOR RIGHTS AGREEMENT This Investor Rights Agreement (the “Agreement”) dated as of February 3, 2023, is by and among NewtekOne, Inc., a Maryland corporation (the “Company”), Patriot Financial Partners IV, L.P., a Delaware limited partnership and Patriot Financial Partners Parallel IV, L.P., a Delaware limited partnership (collectively, the “Investor”). The Company and the Inves |
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| January 31, 2023 |
NEWT / NEWTEK Business Services Corp / Newtek Business Services Corp. - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 8) Under the Securities Exchange Act of 1934 NEWTEKONE, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 652526203 (CUSIP Number) Barry Sloane NewtekOne, Inc. 4800 T-Rex Avenue, Suite 120 Boca Raton, FL 33431 (212) 356-9500 With a copy to: Michael A. Schwa |
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| January 27, 2023 |
Exhibit 107 Calculation of Filing Fee Table FORM S-3 (Form Type) NEWTEKONE, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Fo |
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| January 27, 2023 |
National Bank of New York City Financial Report December 31, 2021 Contents Independent auditor’s report 1-2 Financial statements Balance sheets 3 Statements of operations 4 Statements of comprehensive income 5 Statements of stockholders’ equity 6 Statements of cash flows 7 Notes to financial statements 8-28 1 Independent Auditor’s Report Board of Directors National Bank of New York City Opinion We have audited the financial statements of National Bank of New York City (the Company), which comprise the balance sheets as of December 31, 2021 and 2020, the related statements of operations, comprehensive income, stockholders’ equity, and cash flows for the years then ended, and the related notes to the financial statements. |
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| January 27, 2023 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 6, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Comm |
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| January 27, 2023 |
As filed with the Securities and Exchange Commission on January 27, 2023 As filed with the Securities and Exchange Commission on January 27, 2023 Registration No. |
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| January 24, 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 January 24, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| January 24, 2023 |
EX-99.1 2 bylaws-01132023.htm EX-99.1 NEWTEKONE, INC. BYLAWS ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such places as the Board of Director |
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| January 24, 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 January 24, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| January 17, 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 January 17, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| January 17, 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 January 17, 2023 Date of Report (date of Earliest Event Reported) NEWTEKONE, INC. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organization) (Commi |
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| January 17, 2023 |
EX-99.1 2 nbsc-mdxamendmentrestate.htm EX-99.1 |
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| January 13, 2023 |
Entry into a Material Definitive Agreement 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 13, 2023 Date of Report (date of Earliest Event Reported) NEWTEK BUSINESS SERVICES CORP. (Exact Name of Company as Specified in its Charter) Maryland 814-01035 46-3755188 (State or Other Jurisdiction of Incorporation or Organ |
