SEC Form 5 · accession 0001209191-18-003615
NewtekOne, Inc. · NEWT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Raven
Officer — Chief Info. Security Officer
Period of report
Dec 31, 2017
Accepted (ET)
Jan 16, 2018 · 4:48 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 | Mar 31, 2017 | P | 74 | $16.98 | A | 2,166 | D | |
| Common stock | Jun 30, 2017 | P | 87 | $16.29 | A | 2,166 | D | |
| Common stock | Aug 15, 2017 | F | 1,481 | $16.96 | D | 2,166 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.
- 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.