SEC Form 5 · accession 0001209191-17-002602
NewtekOne, Inc. · NEWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer Catherine Eddelson
Officer — Principal Financial Officer
Period of report
Dec 31, 2016
Accepted (ET)
Jan 6, 2017 · 3:29 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 StockF2 | Sep 30, 2016 | J | 199 | $14.26 | A | 30,647 | D | |
| Common Stock | Dec 30, 2016 | J | 171 | $15.90 | A | 30,818 | D | |
| Common Stock | Aug 2, 2016 | J | 4,950 | $0.00 | A | 35,768 | I | Spouse |
| Common Stock | Sep 30, 2016 | J | 149 | $14.26 | A | 35,917 | I | Spouse |
| Common Stock | Dec 30, 2016 | J | 128 | $15.90 | A | 36,045 | I | Spouse |
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.
- F2Corrects an error in the previously reported number of shares held in the Reporting Person's 401k account.
- F3Reporting Person's husband, an employee of Issuer, was granted shares as a restricted stock award on April 2, 2016. The award vests on August 15, 2017. Dividends, in the form of common stock, were paid on September 30, 2016 and December 30, 2016, and such common stock will also vest on August 15, 2017.