NEWT

SEC source: 0001587987-24-000201 · wk-form4_1727193065.xml · nonDerivative · entry 5

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,183,843

SEC source: 0001587987-24-000201 · wk-form4_1727193065.xml · nonDerivative · entry 4

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,178,457

SEC source: 0001587987-24-000201 · wk-form4_1727193065.xml · nonDerivative · entry 3

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,177,323

SEC source: 0001587987-24-000201 · wk-form4_1727193065.xml · nonDerivative · entry 2

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,167,323

SEC source: 0001587987-24-000201 · wk-form4_1727193065.xml · nonDerivative · entry 1

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,157,323

SEC source: 0001587987-24-000197 · wk-form4_1726862560.xml · nonDerivative · entry 1

Mulia Salvatore Francis · CIK 0001346166 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,791

SEC source: 0001587987-24-000199 · wk-form4_1727099830.xml · nonDerivative · entry 1

SALUTE RICHARD J · CIK 0001235974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,117

SEC source: 0001587987-24-000195 · wk-form4_1726668329.xml · nonDerivative · entry 1

Zink Gregory L · CIK 0001702555 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,017

SEC source: 0001587987-24-000176 · wk-form4_1724271191.xml · nonDerivative · entry 1

Mulia Salvatore Francis · CIK 0001346166 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,291

F1 · kind: Pursuant to 10b5-1 plan adopted by the Reporting Person on June 20, 2023.

SEC source: 0001587987-24-000174 · wk-form4_1723837967.xml · nonDerivative · entry 2

Mulia Salvatore Francis · CIK 0001346166 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,041

F1 · kind: Bona Fide Gifts to family members.

SEC source: 0001587987-24-000174 · wk-form4_1723837967.xml · nonDerivative · entry 1

Mulia Salvatore Francis · CIK 0001346166 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,141

F1 · kind: Bona Fide Gifts to family members.

SEC source: 0001587987-24-000172 · wk-form4_1723654565.xml · nonDerivative · entry 6

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,147,323

SEC source: 0001587987-24-000172 · wk-form4_1723654565.xml · nonDerivative · entry 5

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,145,323

SEC source: 0001587987-24-000172 · wk-form4_1723654565.xml · nonDerivative · entry 4

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,144,323

SEC source: 0001587987-24-000172 · wk-form4_1723654565.xml · nonDerivative · entry 3

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,143,674

SEC source: 0001587987-24-000172 · wk-form4_1723654565.xml · nonDerivative · entry 2

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,143,423

SEC source: 0001587987-24-000172 · wk-form4_1723654565.xml · nonDerivative · entry 1

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,141,674

SEC source: 0001587987-25-000018 · wk-form5_1738271993.xml · nonDerivative · entry 4

YOUNG NICOLAS · CIK 0001728694 · President, Newtek Bank, N.A.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,471

F2 · kind: Disposition by Reporting Person to Issuer under the Issuer's 2015 Stock Incentive Plan to satisfy tax withholding obligations relating to vesting of Restricted Shares.

SEC source: 0001587987-25-000030 · wk-form5_1738875624.xml · nonDerivative · entry 7

Zink Gregory L · CIK 0001702555 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · As Co-Trustee for Gregory L Zink Trust

Disclosed balance after: 6,824

F2 · kind: Shares transferred by reporting person from direct ownership to indirect ownership.

SEC source: 0001587987-25-000030 · wk-form5_1738875624.xml · nonDerivative · entry 5

Zink Gregory L · CIK 0001702555 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,424

F2 · kind: Shares transferred by reporting person from direct ownership to indirect ownership.

SEC source: 0001587987-24-000155 · wk-form4_1721678792.xml · nonDerivative · entry 1

Mulia Salvatore Francis · CIK 0001346166 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 46,241

F1 · kind: Pursuant to 10b5-1 plan adopted by the Reporting Person on June 20, 2023.

SEC source: 0001587987-25-000014 · wk-form5_1738271316.xml · nonDerivative · entry 4

Razon-Feingold Halli · CIK 0001886713 · Director · Chief Administrative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,230

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000016 · wk-form5_1738271692.xml · nonDerivative · entry 3

DeMaria Frank M · CIK 0001871721 · EVP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,026

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000020 · wk-form5_1738272433.xml · nonDerivative · entry 3

SALUTE RICHARD J · CIK 0001235974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,222

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000012 · wk-form5_1738270639.xml · nonDerivative · entry 5

Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,540

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000018 · wk-form5_1738271993.xml · nonDerivative · entry 3

YOUNG NICOLAS · CIK 0001728694 · President, Newtek Bank, N.A.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,471

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000024 · wk-form5_1738874308.xml · nonDerivative · entry 3

Mulia Salvatore Francis · CIK 0001346166 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,897

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000026 · wk-form5_1738874611.xml · nonDerivative · entry 3

PRICE MICHAEL SCOTT · CIK 0001552481 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,444

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000030 · wk-form5_1738875624.xml · nonDerivative · entry 4

Zink Gregory L · CIK 0001702555 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,424

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000028 · wk-form5_1738875047.xml · nonDerivative · entry 3

Downs Peter Mathison · CIK 0001624862 · Director · Chief Lending Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,185

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000022 · wk-form5_1738873787.xml · nonDerivative · entry 3

PEREZ-HICKMAN FERNANDO · CIK 0001713483 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,981

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-25-000032 · wk-form5_1739217523.xml · nonDerivative · entry 4

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,168,337

F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.

SEC source: 0001587987-24-000145 · wk-form4_1719933891.xml · nonDerivative · entry 1

Razon-Feingold Halli · CIK 0001886713 · Director · Chief Administrative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,531

F1 · kind: On July 1, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 5,967 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after twelve (12) months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.

SEC source: 0001587987-24-000147 · wk-form4_1719935686.xml · nonDerivative · entry 1

DeMaria Frank M · CIK 0001871721 · EVP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,207

F1 · kind: On July 1, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 19,889 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after thirty-six (36) months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.

SEC source: 0001587987-24-000143 · wk-form4_1719933533.xml · nonDerivative · entry 1

Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,329

F1 · kind: On July 1, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 9,944 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after twelve (12) months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.

SEC source: 0001587987-24-000153 · wk-form4_1719954581.xml · nonDerivative · entry 1

PRICE MICHAEL SCOTT · CIK 0001552481 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,670

F1 · kind: On July 1, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 1,989 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after twelve (12) months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.

SEC source: 0001587987-24-000151 · wk-form4_1719942272.xml · nonDerivative · entry 1

YOUNG NICOLAS · CIK 0001728694 · President, Newtek Bank, N.A.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,646

F1 · kind: On July 1, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 7,955 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after twelve (12) months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.

SEC source: 0001587987-24-000149 · wk-form4_1719937125.xml · nonDerivative · entry 1

Downs Peter Mathison · CIK 0001624862 · Director · Chief Lending Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,082

F1 · kind: On July 1, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 9,944 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after twelve (12) months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.

SEC source: 0001587987-24-000137 · wk-form4_1719260871.xml · nonDerivative · entry 1

Mulia Salvatore Francis · CIK 0001346166 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 46,991

F1 · kind: Pursuant to 10b5-1 plan adopted by the Reporting Person on June 20, 2023.

SEC source: 0001587987-24-000126 · wk-form4_1718734827.xml · nonDerivative · entry 2

SALUTE RICHARD J · CIK 0001235974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,617

SEC source: 0001587987-24-000122 · wk-form4_1718639579.xml · nonDerivative · entry 2

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,140,674

SEC source: 0001587987-24-000122 · wk-form4_1718639579.xml · nonDerivative · entry 1

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,136,674

SEC source: 0001587987-24-000120 · wk-form4_1718636144.xml · nonDerivative · entry 1

SLOANE BARRY · CIK 0001124485 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,135,674

SEC source: 0001587987-24-000118 · wk-form4_1718635172.xml · nonDerivative · entry 2

PRICE MICHAEL SCOTT · CIK 0001552481 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,681

SEC source: 0001587987-24-000118 · wk-form4_1718635172.xml · nonDerivative · entry 1

PRICE MICHAEL SCOTT · CIK 0001552481 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,681

SEC source: 0001587987-24-000124 · wk-form4_1718645652.xml · nonDerivative · entry 1

Zink Gregory L · CIK 0001702555 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,085

SEC source: 0001587987-24-000126 · wk-form4_1718734827.xml · nonDerivative · entry 1

SALUTE RICHARD J · CIK 0001235974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,917

F1 · kind: On June 14, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 1,932 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after 12 months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.

SEC source: 0001587987-24-000132 · wk-form4_1718735760.xml · nonDerivative · entry 1

Mulia Salvatore Francis · CIK 0001346166 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,741

F1 · kind: On June 14, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 1,932 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after 12 months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.

SEC source: 0001587987-24-000130 · wk-form4_1718735536.xml · nonDerivative · entry 1

Zink Gregory L · CIK 0001702555 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,017

F1 · kind: On June 14, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 1,932 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after 12 months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.

SEC source: 0001587987-24-000128 · wk-form4_1718735290.xml · nonDerivative · entry 1

PEREZ-HICKMAN FERNANDO · CIK 0001713483 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,875

F1 · kind: On June 14, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 1,932 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after 12 months. Dividends in the form of common stock will be paid during the restricted period, and such common stock will also vest pursuant to the vesting schedule.