SEC Form 4 · accession 0001209191-16-134777
NewtekOne, Inc. · NEWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Mathison Downs
Officer — Chief Lending Officer · Director
Period of report
Aug 2, 2016
Accepted (ET)
Aug 2, 2016 · 1:50 pm EDT
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 StockF1 | Aug 2, 2016 | A | 6,600 | $0.00 | A | 21,126 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On April 2, 2016, under the Shareholder and Board approved Newtek Business Services Corp. 2015 Stock Incentive Plan, the reporting person was granted 6,600 shares as a restricted stock award. The award vests on August 15, 2017. Dividends, in the form of common stock, will be paid during the restricted period, and such common stock will also vest on August 15, 2017.