Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NewtekOne, Inc.NEWT · Entity 5823 | Chief Legal Officer | January 14, 2026 | January 16, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NewtekOne, Inc.
Report date January 14, 2026 · Filed January 16, 2026 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 49,713 |
Reported balance
After 2026-01-14 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2026-01-14 · Grant · Acquired 2,247 · Balance 49,713 F1: This Amendment to Form 4 is being filed to correct the Transaction Code in Table I, Column 3a, from P to A. |
Filing footnotes · ownership attribution and instrument terms
F1: This Amendment to Form 4 is being filed to correct the Transaction Code in Table I, Column 3a, from P to A.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 14, 2026 Filed Jan 16, 2026 09:42 UTC Amendment | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon Stock | 2,247 | $13.91 | $31,255.77 |
DisclosureSEC source: 0001628280-26-002286 · wk-form4a_1768574574.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,713 F1 · kind: This Amendment to Form 4 is being filed to correct the Transaction Code in Table I, Column 3a, from P to A. Read SEC document |
| January 14, 2026 Filed Jan 16, 2026 09:02 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 2,247 | $13.91 | $31,255.77 |
DisclosureSEC source: 0001628280-26-002273 · wk-form4_1768572117.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,713 F1 · kind: On January 14, 2026, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 2,247 restricted shares of the Issuer's common stock as a restricted stock award with 100% of the shares vesting after twenty-four (24) 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. Read SEC document |
| October 24, 2025 Filed Jan 15, 2026 15:58 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 207 | $11.05 | $2,287.35 |
DisclosureSEC source: 0001628280-26-002162 · wk-form5_1768510708.xml · nonDerivative · entry 6 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,466 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| October 15, 2025 Filed Jan 15, 2026 15:58 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon Stock | 5,084 | $11.00 | $55,924.00 |
DisclosureSEC source: 0001628280-26-002162 · wk-form5_1768510708.xml · nonDerivative · entry 7 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,466 F2 · kind: Disposition by Reporting Person to Issuer under the Issuer's 2023 Stock Incentive Plan to satisfy tax withholding obligations relating to vesting of Restricted Shares. Read SEC document |
| August 15, 2025 Filed Jan 15, 2026 15:58 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon Stock | 6,527 | $12.11 | $79,041.97 |
DisclosureSEC source: 0001628280-26-002162 · wk-form5_1768510708.xml · nonDerivative · entry 5 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,466 F3 · 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. Read SEC document |
| July 21, 2025 Filed Jan 15, 2026 15:58 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 660 | $11.48 | $7,576.80 |
DisclosureSEC source: 0001628280-26-002162 · wk-form5_1768510708.xml · nonDerivative · entry 4 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,466 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| July 15, 2025 Filed Jan 15, 2026 15:58 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon Stock | 4,648 | $11.38 | $52,894.24 |
DisclosureSEC source: 0001628280-26-002162 · wk-form5_1768510708.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,466 F2 · kind: Disposition by Reporting Person to Issuer under the Issuer's 2023 Stock Incentive Plan to satisfy tax withholding obligations relating to vesting of Restricted Shares. Read SEC document |
| April 30, 2025 Filed Jan 15, 2026 15:58 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 715 | $10.40 | $7,436.00 |
DisclosureSEC source: 0001628280-26-002162 · wk-form5_1768510708.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,466 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| January 13, 2025 Filed Jan 15, 2026 15:58 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 603 | $12.14 | $7,320.42 |
DisclosureSEC source: 0001628280-26-002162 · wk-form5_1768510708.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 47,466 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| October 21, 2024 Filed Jan 30, 2025 15:57 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 537 | $13.46 | $7,228.02 |
DisclosureSEC source: 0001587987-25-000012 · wk-form5_1738270639.xml · nonDerivative · entry 6 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. Read SEC document |
| October 04, 2024 Filed Oct 8, 2024 15:47 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon stock | 11,326 | $0.00 | $0.00 |
DisclosureSEC source: 0001587987-24-000213 · wk-form4_1728416824.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,655 F1 · kind: On October 4, 2024, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 11,326 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. Read SEC document |
| July 19, 2024 Filed Jan 30, 2025 15:57 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 348 | $14.38 | $5,004.24 |
DisclosureSEC 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. Read SEC document |
| July 01, 2024 Filed Jul 2, 2024 11:18 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon stock | 9,944 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| April 15, 2024 Filed Jan 30, 2025 15:57 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 273 | $11.22 | $3,063.06 |
DisclosureSEC source: 0001587987-25-000012 · wk-form5_1738270639.xml · nonDerivative · entry 4 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. Read SEC document |
| March 15, 2024 Filed Jan 30, 2025 15:57 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 391 | $10.90 | $4,261.90 |
DisclosureSEC source: 0001587987-25-000012 · wk-form5_1738270639.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,540 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. Read SEC document |
| February 15, 2024 Filed Jan 30, 2025 15:57 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 966 | $11.52 | $11,128.32 |
DisclosureSEC source: 0001587987-25-000012 · wk-form5_1738270639.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 61,540 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. Read SEC document |
| January 12, 2024 Filed Jan 30, 2025 15:57 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 329 | $12.79 | $4,207.91 |
DisclosureSEC source: 0001587987-25-000012 · wk-form5_1738270639.xml · nonDerivative · entry 1 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. Read SEC document |
| October 20, 2023 Filed Jan 23, 2024 09:17 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 270 | $13.40 | $3,618.00 |
DisclosureSEC source: 0001587987-24-000009 · wk-form5_1706019453.xml · nonDerivative · entry 5 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,182 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| July 21, 2023 Filed Jan 23, 2024 09:17 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 200 | $17.92 | $3,584.00 |
DisclosureSEC source: 0001587987-24-000009 · wk-form5_1706019453.xml · nonDerivative · entry 4 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,912 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| April 14, 2023 Filed Jan 23, 2024 09:17 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 271 | $13.05 | $3,536.55 |
DisclosureSEC source: 0001587987-24-000009 · wk-form5_1706019453.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,712 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| March 22, 2023 Filed Mar 22, 2023 11:03 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 230 | $12.80 | $2,942.85 |
DisclosureSEC source: 0001209191-23-020441 · doc4.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,966 Read SEC document |
| March 22, 2023 Filed Mar 22, 2023 11:03 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 300 | $12.78 | $3,834.00 |
DisclosureSEC source: 0001209191-23-020441 · doc4.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,966 Read SEC document |
| March 22, 2023 Filed Mar 22, 2023 11:03 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 100 | $12.80 | $1,280.00 |
DisclosureSEC source: 0001209191-23-020441 · doc4.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,966 Read SEC document |
| March 15, 2023 Filed Jan 23, 2024 09:17 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 321 | $12.20 | $3,916.20 |
DisclosureSEC source: 0001587987-24-000009 · wk-form5_1706019453.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,441 F1 · 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. Read SEC document |
| February 15, 2023 Filed Jan 23, 2024 09:17 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 1,204 | $20.39 | $24,549.56 |
DisclosureSEC source: 0001587987-24-000009 · wk-form5_1706019453.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,762 F1 · 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. Read SEC document |
| December 30, 2022 Filed Jan 18, 2023 12:26 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 987 | $16.25 | $16,038.75 |
DisclosureSEC source: 0001209191-23-003654 · doc5.xml · nonDerivative · entry 6 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,336 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| September 30, 2022 Filed Jan 18, 2023 12:26 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 878 | $16.32 | $14,328.96 |
DisclosureSEC source: 0001209191-23-003654 · doc5.xml · nonDerivative · entry 5 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,336 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| August 04, 2022 Filed Aug 5, 2022 10:05 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon Stock | 14,124 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-044485 · doc4.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,056 F1 · kind: On August 4, 2022, under the Shareholder and Board approved Newtek Business Services Corp. 2015 Stock Incentive Plan, the reporting person was granted 14,124 restricted shares of the Issuer's common stock as a restricted stock award with a three (3) year cliff vest. 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. Read SEC document |
| June 30, 2022 Filed Jan 18, 2023 12:26 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 301 | $18.93 | $5,697.93 |
DisclosureSEC source: 0001209191-23-003654 · doc5.xml · nonDerivative · entry 4 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,336 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| March 31, 2022 Filed Jan 18, 2023 12:26 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 181 | $26.70 | $4,832.70 |
DisclosureSEC source: 0001209191-23-003654 · doc5.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,336 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| March 15, 2022 Filed Jan 18, 2023 12:26 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 596 | $27.54 | $16,413.84 |
DisclosureSEC source: 0001209191-23-003654 · doc5.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,336 F1 · 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 Read SEC document |
| February 15, 2022 Filed Jan 18, 2023 12:26 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 1,471 | $26.64 | $39,187.44 |
DisclosureSEC source: 0001209191-23-003654 · doc5.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,336 F1 · 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 Read SEC document |
| December 30, 2021 Filed Jan 4, 2022 14:15 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 412 | $27.39 | $11,284.68 |
DisclosureSEC source: 0001209191-22-000552 · doc5.xml · nonDerivative · entry 6 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,932 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| September 30, 2021 Filed Jan 4, 2022 14:15 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 338 | $27.73 | $9,372.74 |
DisclosureSEC source: 0001209191-22-000552 · doc5.xml · nonDerivative · entry 5 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,932 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| June 30, 2021 Filed Jan 4, 2022 14:15 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 205 | $34.92 | $7,158.60 |
DisclosureSEC source: 0001209191-22-000552 · doc5.xml · nonDerivative · entry 4 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,932 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| April 30, 2021 Filed Jan 4, 2022 14:15 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 1,157 | $27.88 | $32,257.16 |
DisclosureSEC source: 0001209191-22-000552 · doc5.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,932 F1 · 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 of the Issuer's common stock Read SEC document |
| March 31, 2021 Filed Jan 4, 2022 14:15 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 231 | $26.70 | $6,167.70 |
DisclosureSEC source: 0001209191-22-000552 · doc5.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,932 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| March 15, 2021 Filed Jan 4, 2022 14:15 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 5,825 | $27.52 | $160,304.00 |
DisclosureSEC source: 0001209191-22-000552 · doc5.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,932 F1 · 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 of the Issuer's common stock Read SEC document |
| March 09, 2021 Filed Mar 15, 2021 12:34 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon Stock | 3,213 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-020395 · doc4.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,861 F1 · shares: On March 9, 2021, under the Shareholder and Board approved Newtek Business Services Corp. 2015 Stock Incentive Plan, the reporting person was granted 3,213 restricted shares of the Issuer's common stock as a restricted stock award. One-third of the Award will vest on each of the following dates: March 15, 2022; March 15, 2023; and March 15, 2024. Dividends, in the form of common stock, will be paid during the restricted period, and such common stock will also vet pursuant to the vesting schedule. Read SEC document |
| February 03, 2021 Filed Feb 5, 2021 10:01 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon Stock | 2,312 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008028 · doc4.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,648 F2 · shares: On February 3, 2021, under the Shareholder and Board approved Newtek Business Services Corp. 2015 Stock Incentive Plan, the reporting person was granted 2,312 restricted shares of the Issuer's common stock as a restricted stock award. The Award will vest on April 30, 2021. 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. Read SEC document |
| February 03, 2021 Filed Feb 5, 2021 10:01 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon stock | 6,934 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008028 · doc4.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,648 F1 · shares: On February 3, 2021, under the Shareholder and Board approved Newtek Business Services Corp. 2015 Stock Incentive Plan, the reporting person was granted 6,934 restricted shares of the Issuer's common stock as a restricted stock award. One-third of the Award will vest on each of the following dates: February 15, 2022; February 15, 2023; and February 15, 2024. 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. Read SEC document |
| December 30, 2020 Filed Jan 21, 2021 14:23 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 294 | $18.65 | $5,483.10 |
DisclosureSEC source: 0001209191-21-004645 · doc5.xml · nonDerivative · entry 6 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,402 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| September 30, 2020 Filed Jan 21, 2021 14:23 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 351 | $18.57 | $6,518.07 |
DisclosureSEC source: 0001209191-21-004645 · doc5.xml · nonDerivative · entry 5 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,402 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| July 31, 2020 Filed Jan 21, 2021 14:23 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 328 | $18.73 | $6,143.44 |
DisclosureSEC source: 0001209191-21-004645 · doc5.xml · nonDerivative · entry 4 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,402 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| July 15, 2020 Filed Jan 21, 2021 14:23 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GiftCommon Stock | 139 | $18.00 | $2,502.00 |
DisclosureSEC source: 0001209191-21-004645 · doc5.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,402 F3 · kind: Gift by Reporting Person to his adult child not living in his household. Read SEC document |
| May 15, 2020 Filed Jan 21, 2021 14:23 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon Stock | 747 | $14.66 | $10,951.02 |
DisclosureSEC source: 0001209191-21-004645 · doc5.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,402 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. Read SEC document |
| March 31, 2020 Filed Jan 21, 2021 14:23 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 406 | $13.21 | $5,363.26 |
DisclosureSEC source: 0001209191-21-004645 · doc5.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,402 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| December 30, 2019 Filed Jan 6, 2020 12:29 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 375 | $22.37 | $8,388.75 |
DisclosureSEC source: 0001209191-20-001565 · doc5.xml · nonDerivative · entry 5 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,908 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| September 30, 2019 Filed Jan 6, 2020 12:29 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 296 | $22.58 | $6,683.68 |
DisclosureSEC source: 0001209191-20-001565 · doc5.xml · nonDerivative · entry 4 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,908 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| August 21, 2019 Filed Jan 6, 2020 12:29 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GiftCommon stock | 231 | $22.40 | $5,174.40 |
DisclosureSEC source: 0001209191-20-001565 · doc5.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,908 F2 · kind: Gift by Reporting Person to his adult child not living in his household. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.