SEC Form 5 · accession 0001209191-17-000135
NewtekOne, Inc. · NEWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry Sloane
Officer — Chairman & CEO · Director
Period of report
Dec 31, 2016
Accepted (ET)
Jan 3, 2017 · 3:33 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 | Sep 30, 2016 | J | 796 | $14.26 | A | 998,029 | D | |
| Common Stock | Dec 31, 2016 | J | 684 | $15.90 | A | 998,713 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This stock was received by the Reporting Person pursuant to a regular quarterly dividend declared by Newtek Business Services Corp.