NewtekOne (NEWT) CEO granted 3,595 restricted shares under 2023 plan

Rhea-AI Filing Summary

NewtekOne, Inc. reported an equity award to its President, Chairman & CEO Barry Sloane. On January 14, 2026, he was granted 3,595 restricted shares of NewtekOne common stock under the shareholder- and board-approved 2023 Stock Incentive Plan, valued in the filing at $13.91 per share. All of these shares vest 100% after twenty-four months.

During the restricted period, dividends will be paid in the form of additional common stock, and those dividend shares will follow the same vesting schedule. After this grant, Sloane beneficially owned 1,194,180 shares of NewtekOne common stock directly.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

SLOANE BARRY

(Last) (First) (Middle)

4800 T REX AVENUE, SUITE 120

(Street)

BOCA RATON FL 33431

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
NewtekOne, Inc. [ NEWT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President, Chairman & CEO

3. Date of Earliest Transaction (Month/Day/Year)
01/14/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	01/14/2026		P(1)		3,595	A	$13.91	1,194,180	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. On January 14, 2026, under the Shareholder and Board approved NewtekOne, Inc. 2023 Stock Incentive Plan, the reporting person was granted 3,595 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.

Remarks:

	Barry Sloane	01/16/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What insider transaction did NEWT report for Barry Sloane on January 14, 2026?

NewtekOne, Inc. reported that Barry Sloane received a grant of 3,595 restricted shares of the company’s common stock on January 14, 2026 under its 2023 Stock Incentive Plan.

At what price were Barry Sloane's 3,595 NewtekOne (NEWT) shares valued in the Form 4?

The 3,595 restricted shares granted to Barry Sloane were valued in the filing at $13.91 per share.

How many NewtekOne (NEWT) shares does Barry Sloane beneficially own after this Form 4 transaction?

Following the reported grant, Barry Sloane beneficially owned 1,194,180 shares of NewtekOne common stock directly.

What are the vesting terms of Barry Sloane's 3,595 restricted NewtekOne shares?

The 3,595 restricted shares granted to Barry Sloane vest 100% after twenty-four (24) months from the grant date.

How are dividends handled on Barry Sloane's restricted NewtekOne (NEWT) shares?

During the restricted period, dividends are paid in the form of common stock. Those dividend shares will also vest according to the same twenty-four-month vesting schedule.

Under which plan were Barry Sloane's restricted NewtekOne shares granted?

The restricted stock award was granted under the NewtekOne, Inc. 2023 Stock Incentive Plan, which was approved by shareholders and the board.