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 |
|---|---|---|---|---|---|---|
| June 28, 2019 Filed Jan 6, 2020 12:29 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 226 | $23.00 | $5,198.00 |
DisclosureSEC source: 0001209191-20-001565 · doc5.xml · nonDerivative · entry 2 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 |
| April 26, 2019 Filed Apr 29, 2019 14:18 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon stock | 1,446 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-026368 · doc4.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,243 F1 · shares: On April 26, 2019, under the Shareholder and Board approved Newtek Business Services Corp. 2015 Stock Incentive Plan, the reporting person was granted 1,446 restricted shares of the Issuer's common stock as a restricted stock award. The award vests on May 15, 2020. Dividends, in the form of common stock, will be paid during the restricted period, and such common stock will also vest on May 15, 2020. Read SEC document |
| March 29, 2019 Filed Jan 6, 2020 12:29 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 196 | $19.64 | $3,849.44 |
DisclosureSEC source: 0001209191-20-001565 · doc5.xml · nonDerivative · entry 1 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 |
| December 28, 2018 Filed Jan 24, 2019 15:48 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 271 | $17.28 | $4,682.88 |
DisclosureSEC source: 0001209191-19-005115 · doc5.xml · nonDerivative · entry 4 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,601 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| September 30, 2018 Filed Jan 24, 2019 15:48 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 209 | $20.94 | $4,376.46 |
DisclosureSEC source: 0001209191-19-005115 · doc5.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,601 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| June 30, 2018 Filed Jan 24, 2019 15:48 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 189 | $19.91 | $3,762.99 |
DisclosureSEC source: 0001209191-19-005115 · doc5.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,601 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| March 30, 2018 Filed Jan 24, 2019 15:48 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 199 | $17.62 | $3,506.38 |
DisclosureSEC source: 0001209191-19-005115 · doc5.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,601 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| February 26, 2018 Filed Feb 27, 2018 08:11 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon Stock | 8,772 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-013709 · doc4.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,731 F1 · shares: On February 26, 2018, under the Shareholder and Board approved Newtek Business Services Corp. 2015 Stock Incentive Plan, the reporting person was granted 8,772 restricted shares of the Issuer's common stock as a restricted stock award. The award vests on March 15, 2021. Dividends, in the form of common stock, will be paid during the restricted period, and such common stock will also vest on March 15, 2021. Read SEC document |
| November 24, 2017 Filed Jan 16, 2018 16:46 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GiftCommon stock | 343 | $17.50 | $6,002.50 |
DisclosureSEC source: 0001209191-18-003609 · doc5.xml · nonDerivative · entry 3 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,959 F1 · kind: Gift by reporting person to his adult children not living in his household. Read SEC document |
| November 24, 2017 Filed Jan 16, 2018 16:46 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GiftCommon stock | 286 | $17.50 | $5,005.00 |
DisclosureSEC source: 0001209191-18-003609 · doc5.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,959 F1 · kind: Gift by reporting person to his adult children not living in his household. Read SEC document |
| November 24, 2017 Filed Jan 16, 2018 16:46 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GiftCommon stock | 57 | $17.50 | $997.50 |
DisclosureSEC source: 0001209191-18-003609 · doc5.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,959 F1 · kind: Gift by reporting person to his adult children not living in his household. Read SEC document |
| August 16, 2017 Filed Jan 16, 2018 16:46 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GiftCommon stock | 100 | $16.77 | $1,677.00 |
DisclosureSEC source: 0001209191-18-003609 · doc5.xml · nonDerivative · entry 4 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,959 F1 · kind: Gift by reporting person to his adult children not living in his household. Read SEC document |
| August 15, 2017 Filed Jan 16, 2018 16:46 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 3,466 | $16.96 | $58,783.36 |
DisclosureSEC source: 0001209191-18-003609 · doc5.xml · nonDerivative · entry 5 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,959 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 |
| June 30, 2017 Filed Jan 16, 2018 16:46 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 174.78 | $16.29 | $2,847.17 |
DisclosureSEC source: 0001209191-18-003609 · doc5.xml · nonDerivative · entry 6 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,959 F3 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| March 31, 2017 Filed Jan 16, 2018 16:46 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 147.78 | $16.98 | $2,509.30 |
DisclosureSEC source: 0001209191-18-003609 · doc5.xml · nonDerivative · entry 7 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,959 F3 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| December 31, 2016 Filed Jan 3, 2017 15:21 UTC | NewtekOne, Inc. NEWT · Entity 5823 | OtherCommon Stock | 171 | $15.90 | $2,718.90 |
DisclosureSEC source: 0001209191-17-000126 · doc5.xml · nonDerivative · entry 2 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,889 F1 · kind: This stock was received by the Reporting Person pursuant to a regular quarterly dividend declared by Newtek Business Services Corp. Read SEC document |
| September 30, 2016 Filed Jan 3, 2017 15:21 UTC | NewtekOne, Inc. NEWT · Entity 5823 | OtherCommon Stock | 199 | $14.26 | $2,837.74 |
DisclosureSEC source: 0001209191-17-000126 · doc5.xml · nonDerivative · entry 1 Schwartz Michael Adam · CIK 0001337003 · Chief Legal&Compliance Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,718 F1 · kind: This stock was received by the Reporting Person pursuant to a regular quarterly dividend declared by Newtek Business Services Corp. 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.