SEC Form 5 · accession 0001209191-19-005115
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, 2018
Accepted (ET)
Jan 24, 2019 · 3:48 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 30, 2018 | P | 199 | $17.62 | A | 16,601 | D | |
| Common Stock | Jun 30, 2018 | P | 189 | $19.91 | A | 16,601 | D | |
| Common Stock | Sep 30, 2018 | P | 209 | $20.94 | A | 16,601 | D | |
| Common Stock | Dec 28, 2018 | P | 271 | $17.28 | A | 16,601 | 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.