Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NewtekOne, Inc.NEWT · Entity 5823 | Chief Accounting Officer | December 31, 2023 | February 09, 2024 |
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 December 31, 2023 · Filed February 09, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 18,318 |
Reported balance
After 2023-02-15 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2023-02-15 · Tax withholding · Disposed 722 · Balance 18,318 F1: 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. |
| Common stockSEC Table I · non-derivative | Direct | 18,318 |
Reported balance
After 2023-04-14 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2023-04-14 · Purchase · Acquired 186 · Balance 18,318 F2: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. |
| Common stockSEC Table I · non-derivative | Direct | 18,318 |
Reported balance
After 2023-04-14 transaction · row 3
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 3 · 2023-04-14 · Purchase · Acquired 5 · Balance 18,318 F2: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. |
| Common stockSEC Table I · non-derivative | Direct | 18,318 |
Reported balance
After 2023-07-21 transaction · row 4
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 4 · 2023-07-21 · Purchase · Acquired 137 · Balance 18,318 F2: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. |
| Common stockSEC Table I · non-derivative | Direct | 18,318 |
Reported balance
After 2023-07-21 transaction · row 5
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 5 · 2023-07-21 · Purchase · Acquired 4 · Balance 18,318 F2: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. |
| Common stockSEC Table I · non-derivative | Direct | 18,318 |
Reported balance
After 2023-10-20 transaction · row 6
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 6 · 2023-10-20 · Purchase · Acquired 185 · Balance 18,318 F2: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. |
| Common stockSEC Table I · non-derivative | Direct | 18,318 |
Reported balance
After 2023-10-20 transaction · row 7
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 7 · 2023-10-20 · Purchase · Acquired 17 · Balance 18,318 F2: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. |
| Common stockSEC Table I · non-derivative | Direct | 18,318 |
Reported balance
After 2023-12-04 transaction · row 8
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 8 · 2023-12-04 · Sale · Disposed 5 · Balance 18,318 F3: Shares sold by Reporting Person's broker to cover account fees. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer.
F3: Shares sold by Reporting Person's broker to cover account fees.
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 |
|---|---|---|---|---|---|---|
| December 04, 2023 Filed Feb 9, 2024 16:50 UTC | NewtekOne, Inc. NEWT · Entity 5823 | SaleCommon stock | 5 | $13.83 | $69.13 |
DisclosureSEC source: 0001587987-24-000035 · wk-form5_1707497434.xml · nonDerivative · entry 8 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,318 F3 · kind: Shares sold by Reporting Person's broker to cover account fees. Read SEC document |
| October 20, 2023 Filed Feb 9, 2024 16:50 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 17 | $13.71 | $233.07 |
DisclosureSEC source: 0001587987-24-000035 · wk-form5_1707497434.xml · nonDerivative · entry 7 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,318 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| October 20, 2023 Filed Feb 9, 2024 16:50 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 185 | $13.40 | $2,479.00 |
DisclosureSEC source: 0001587987-24-000035 · wk-form5_1707497434.xml · nonDerivative · entry 6 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,318 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| July 21, 2023 Filed Feb 9, 2024 16:50 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 4 | $17.97 | $71.88 |
DisclosureSEC source: 0001587987-24-000035 · wk-form5_1707497434.xml · nonDerivative · entry 5 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,318 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| July 21, 2023 Filed Feb 9, 2024 16:50 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 137 | $17.92 | $2,455.04 |
DisclosureSEC source: 0001587987-24-000035 · wk-form5_1707497434.xml · nonDerivative · entry 4 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,318 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| April 14, 2023 Filed Feb 9, 2024 16:50 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 5 | $21.85 | $109.25 |
DisclosureSEC source: 0001587987-24-000035 · wk-form5_1707497434.xml · nonDerivative · entry 3 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,318 F2 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer. Read SEC document |
| April 14, 2023 Filed Feb 9, 2024 16:50 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 186 | $13.05 | $2,427.30 |
DisclosureSEC source: 0001587987-24-000035 · wk-form5_1707497434.xml · nonDerivative · entry 2 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,318 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 13:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 1,000 | $12.69 | $12,690.00 |
DisclosureSEC source: 0001209191-23-020431 · doc4.xml · nonDerivative · entry 1 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,493 Read SEC document |
| February 15, 2023 Filed Feb 9, 2024 16:50 UTC | NewtekOne, Inc. NEWT · Entity 5823 | Tax withholdingCommon stock | 722 | $20.39 | $14,721.58 |
DisclosureSEC source: 0001587987-24-000035 · wk-form5_1707497434.xml · nonDerivative · entry 1 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,318 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 23, 2023 19:04 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 15 | $16.54 | $248.10 |
DisclosureSEC source: 0001209191-23-004392 · doc5.xml · nonDerivative · entry 8 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| December 30, 2022 Filed Jan 23, 2023 19:04 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 638 | $16.25 | $10,367.50 |
DisclosureSEC source: 0001209191-23-004392 · doc5.xml · nonDerivative · entry 7 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| September 30, 2022 Filed Jan 23, 2023 19:04 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 13 | $16.33 | $212.29 |
DisclosureSEC source: 0001209191-23-004392 · doc5.xml · nonDerivative · entry 6 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| September 30, 2022 Filed Jan 23, 2023 19:04 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 568 | $16.32 | $9,269.76 |
DisclosureSEC source: 0001209191-23-004392 · doc5.xml · nonDerivative · entry 5 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| August 04, 2022 Filed Aug 5, 2022 14:50 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon Stock | 10,593 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-044495 · doc4.xml · nonDerivative · entry 1 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,015.319 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 10,593 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 23, 2023 19:04 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 13 | $18.73 | $243.49 |
DisclosureSEC source: 0001209191-23-004392 · doc5.xml · nonDerivative · entry 4 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| June 30, 2022 Filed Jan 23, 2023 19:04 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 139 | $18.93 | $2,631.27 |
DisclosureSEC source: 0001209191-23-004392 · doc5.xml · nonDerivative · entry 3 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| March 31, 2022 Filed Jan 23, 2023 19:04 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 8 | $26.94 | $215.52 |
DisclosureSEC source: 0001209191-23-004392 · doc5.xml · nonDerivative · entry 2 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| March 31, 2022 Filed Jan 23, 2023 19:04 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon Stock | 84 | $26.70 | $2,242.80 |
DisclosureSEC source: 0001209191-23-004392 · doc5.xml · nonDerivative · entry 1 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,493 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| December 30, 2021 Filed Jan 12, 2022 18:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 11.834 | $24.45 | $289.38 |
DisclosureSEC source: 0001209191-22-003035 · doc5.xml · nonDerivative · entry 9 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,422.319 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| December 30, 2021 Filed Jan 12, 2022 18:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 127 | $27.39 | $3,478.53 |
DisclosureSEC source: 0001209191-22-003035 · doc5.xml · nonDerivative · entry 8 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,422.319 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| December 06, 2021 Filed Jan 12, 2022 18:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | SaleCommon stock | 4 | $29.90 | $119.59 |
DisclosureSEC source: 0001209191-22-003035 · doc5.xml · nonDerivative · entry 7 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,422.319 Read SEC document |
| September 30, 2021 Filed Jan 12, 2022 18:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 9.873 | $27.97 | $276.15 |
DisclosureSEC source: 0001209191-22-003035 · doc5.xml · nonDerivative · entry 6 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,422.319 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| September 30, 2021 Filed Jan 12, 2022 18:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 104 | $27.73 | $2,883.92 |
DisclosureSEC source: 0001209191-22-003035 · doc5.xml · nonDerivative · entry 5 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,422.319 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| June 30, 2021 Filed Jan 12, 2022 18:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 6.128 | $34.30 | $210.21 |
DisclosureSEC source: 0001209191-22-003035 · doc5.xml · nonDerivative · entry 4 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,422.319 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| June 30, 2021 Filed Jan 12, 2022 18:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 63 | $34.92 | $2,199.96 |
DisclosureSEC source: 0001209191-22-003035 · doc5.xml · nonDerivative · entry 3 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,422.319 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| March 31, 2021 Filed Jan 12, 2022 18:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 5.484 | $27.00 | $148.06 |
DisclosureSEC source: 0001209191-22-003035 · doc5.xml · nonDerivative · entry 2 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,422.319 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| March 31, 2021 Filed Jan 12, 2022 18:54 UTC | NewtekOne, Inc. NEWT · Entity 5823 | PurchaseCommon stock | 87 | $26.70 | $2,322.90 |
DisclosureSEC source: 0001209191-22-003035 · doc5.xml · nonDerivative · entry 1 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,422.319 F1 · kind: Shares received by Reporting Person pursuant to regular quarterly dividend declared by Issuer Read SEC document |
| February 03, 2021 Filed Feb 5, 2021 16:47 UTC | NewtekOne, Inc. NEWT · Entity 5823 | GrantCommon stock | 4,623 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-008039 · doc4.xml · nonDerivative · entry 1 Leger Nicholas J · CIK 0001842924 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,012 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 4,623 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: April 30, 2021; 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.