SEC Form 5 · accession 0001209191-16-090717
NewtekOne, Inc. · NEWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sam Kirschner
Director
Period of report
Dec 31, 2015
Accepted (ET)
Jan 11, 2016 · 1:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001587987
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock | Apr 13, 2015 | J | 34 | $0.00 | A | 48,977 | D | |
| Common stock | Jul 16, 2015 | J | 926 | $0.00 | A | 48,977 | D | |
| Common stock | Nov 3, 2015 | J | 1,183 | $0.00 | A | 48,977 | D | |
| Common stock | Dec 31, 2015 | J | 8,147 | $13.48 | A | 48,977 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This stock was received pursuant to the payment of regular quarterly dividend.
- F2This stock was received by the Reporting Person pursuant to a dividend declared by Newtek Business Services Corp. on October 1, 2015. As a result of the dividend, all holders of record of Common Stock on November 18, 2015 received on December 31, 2015, $2.69 per share payable, at the election of the stockholder, in either all shares of Common Stock or $0.836 per share in cash and $1.853 in shares of Common Stock. The price per share of Common Stock issued was based on the Common Stock's volume-weighted average price of $13.48 per share on the Nasdaq Global Market on December 11, 14 and 15, 2015.