SEC Form 5 · accession 0001209191-18-003609
NewtekOne, Inc. · NEWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Adam Schwartz
Officer — Chief Legal&Compliance Officer
Period of report
Dec 31, 2017
Accepted (ET)
Jan 16, 2018 · 4:46 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 | Nov 24, 2017 | G | 57 | $17.50 | D | 6,959 | D | |
| Common stock | Nov 24, 2017 | G | 286 | $17.50 | D | 6,959 | D | |
| Common stock | Nov 24, 2017 | G | 343 | $17.50 | D | 6,959 | D | |
| Common stock | Aug 16, 2017 | G | 100 | $16.77 | D | 6,959 | D | |
| Common stock | Aug 15, 2017 | F | 3,466 | $16.96 | D | 6,959 | D | |
| Common stock | Jun 30, 2017 | P | 175 | $16.29 | A | 6,959 | D | |
| Common stock | Mar 31, 2017 | P | 148 | $16.98 | A | 6,959 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Gift by reporting person to his adult children not living in his household.
- F2Disposition by Reporting Person to Issuer under the Issuer's 2015 Stock Incentive Plan to satisfy tax withholding obligations relating to vesting of Restricted Shares
- F3Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.