SEC Form 5 · accession 0001209191-17-005496
NewtekOne, Inc. · NEWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Salvatore Francis Mulia
Director
Period of report
Dec 31, 2016
Accepted (ET)
Jan 25, 2017 · 3:20 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 | Dec 31, 2015 | J | 318 | $14.32 | A | 62,403 | D | |
| Common stock | Jan 19, 2016 | J | 224 | $11.06 | A | 62,627 | D | |
| Common stock | Jan 19, 2016 | J | 171 | $11.06 | A | 62,798 | D | |
| Common stock | Mar 31, 2016 | J | 139 | $12.50 | A | 62,937 | D | |
| Common stock | Mar 31, 2016 | J | 183 | $12.50 | A | 63,120 | D | |
| Common stock | Jun 30, 2016 | J | 190 | $12.72 | A | 63,310 | D | |
| Common stock | Jun 30, 2016 | J | 144 | $12.72 | A | 63,454 | D | |
| Common stock | Sep 30, 2016 | J | 162 | $14.26 | A | 63,616 | D | |
| Common stock | Sep 30, 2016 | J | 212 | $14.26 | A | 63,828 | 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.