SEC Form 5 · accession 0001209191-17-000734
NewtekOne, Inc. · NEWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sam Kirschner
Director
Period of report
Dec 31, 2016
Accepted (ET)
Jan 4, 2017 · 2:52 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 | Jan 19, 2016 | J | 66 | $12.35 | A | 53,043 | D | |
| Common stock | Apr 1, 2016 | J | 672 | $12.54 | A | 53,715 | D | |
| Common stock | Apr 1, 2016 | J | 57 | $12.90 | A | 53,772 | D | |
| Common stock | Apr 1, 2016 | J | 481 | $12.54 | A | 54,253 | D | |
| Common stock | Apr 1, 2016 | J | 240 | $12.54 | A | 54,493 | D | |
| Common stock | Jul 1, 2016 | J | 674 | $12.86 | A | 55,167 | D | |
| Common stock | Jul 1, 2016 | J | 62 | $12.16 | A | 55,229 | D | |
| Common Stock | Jul 1, 2016 | J | 483 | $12.86 | A | 55,712 | D | |
| Common Stock | Jul 1, 2016 | J | 268 | $12.86 | A | 55,980 | 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.