Welcome to our dedicated page for NewtekOne SEC filings (Ticker: NEWT), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to NewtekOne, Inc. (NASDAQ: NEWT) SEC filings, offering a detailed view of how the financial holding company reports its activities as a provider of business and financial solutions to independent business owners. Through its filings, NewtekOne discloses information on banking operations, lending programs, capital structure, and listed securities.
Annual reports (Form 10-K) and quarterly reports (Form 10-Q) typically contain discussions of NewtekOne’s business model, including banking through Newtek Bank, N.A., SBA Lending Solutions, Alternative Loan Program (ALP) loans, electronic payment processing, accounts receivable and inventory financing, insurance solutions, payroll and benefits services, and technology offerings delivered via Intelligent Protection Management Corp. These reports also describe risk factors, segment information, and other data relevant to evaluating the company.
Current reports on Form 8-K document material events such as earnings releases, share repurchase authorizations, changes in credit facilities, preferred stock and depositary share offerings, and exchange offers for outstanding notes. Recent 8-K filings identify NewtekOne’s listed securities on the Nasdaq Global Market, including its common stock (NEWT), multiple series of notes (NEWTZ, NEWTI, NEWTG, NEWTH), and depositary shares representing interests in its 8.500% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series B (NEWTP).
Investors interested in capital structure and financing can review filings related to preferred stock designations, depositary share offerings, credit and guaranty agreements for subsidiaries such as Newtek Merchant Solutions, and securities purchase and exchange agreements with institutional investors. These documents explain how NewtekOne raises capital, refinances obligations, and manages its mix of equity, preferred stock, and debt.
On Stock Titan, NewtekOne filings are updated from the SEC’s EDGAR system and accompanied by AI-powered summaries that highlight key points, such as changes in capital programs, new securities offerings, or significant lending and securitization developments. Users can quickly scan 10-Ks, 10-Qs, and 8-Ks, and review information on listed notes and depositary shares, while also accessing insider and capital-related disclosures where applicable.
NewtekOne, Inc. filed a current report to note that its previously announced offer to exchange its outstanding 5.50% Notes due 2026 for an equal principal amount of newly issued 8.50% Fixed Rate Senior Notes due 2031 expired at 5:00 p.m. Eastern time on January 23, 2026. The company furnished a press release as an exhibit describing the expiration of this exchange offer, and clarified that the press release and related information are being furnished rather than filed for securities law purposes.
NewtekOne, Inc. closed a securitization in which its subsidiary Newtek Business Service Holdco 6, Inc. sold $251,880,000 of Class A Notes, $35,880,000 of Class B Notes, and $6,840,000 of a Class C Note issued by NALP Business Loan Trust 2026-1. These Notes are backed by $341,776,148 of collateral, consisting of $284,376,148 of company-originated ALP loans and a prefunding account to buy additional ALP loans the company originates.
The Notes were sold in a private offering and were not registered under the Securities Act of 1933, and may be offered and sold in the United States only in transactions that comply with Rule 144A or another applicable exemption from registration.
NewtekOne, Inc. chief financial officer Frank M. DeMaria reported an acquisition of company stock and corrected a prior coding error. On 01/14/2026, he acquired 1,556 shares of NewtekOne common stock at $13.91 per share, bringing his directly held beneficial ownership to 35,220 shares. This Form 4/A is an amendment that changes the transaction code in the non-derivative table from “P” (open-market or private purchase) to “A” (grant or award), clarifying the nature of the share acquisition.
NewtekOne, Inc. insider Barry Sloane, who serves as President, Chairman and CEO as well as a director, reported an acquisition of company stock. On 01/14/2026 he acquired 3,595 shares of NewtekOne common stock at a price of $13.91 per share, bringing his directly held beneficial ownership to 1,194,180 shares after the transaction. This Form 4/A is an amendment filed to correct the transaction code in Table I from “P” (purchase) to “A” (acquisition), clarifying how the transaction is categorized.
NewtekOne, Inc. reported that director and officer Halli Razon-Feingold, SVP, Human Resources & CAO, acquired 1,258 shares of common stock on 01/14/2026 at a price of $13.91 per share. Following this award, she beneficially owns 22,915 shares of NewtekOne common stock in direct ownership. This filing is an amendment to a prior Form 4 and corrects the transaction code in Table I from “P” (purchase) to “A” (a type of acquisition), clarifying the nature of the reported share acquisition.
NewtekOne, Inc. chief legal officer Michael A. Schwartz filed an amended Form 4 reporting the acquisition of 2,247 shares of common stock on 01/14/2026 at a price of $13.91 per share. Following this transaction, he beneficially owned 49,713 shares of NewtekOne common stock in direct ownership. The amendment clarifies that the transaction code in Table I should be reported as an acquisition (code A), correcting a prior filing that had shown the transaction as a purchase (code P).
NewtekOne, Inc. reported that director and officer Peter Downs, President of Newtek Bank, received a grant of company stock. On January 14, 2026, he was awarded 2,696 restricted shares of NewtekOne common stock under the shareholder- and board-approved 2023 Stock Incentive Plan at a reported price of $13.91 per share. All of these shares are scheduled to vest 24 months after the grant date.
During the restricted period, dividends will be paid in additional common stock, and those dividend shares will follow the same vesting schedule. Following this award, Downs beneficially owns 86,756 shares of NewtekOne common stock directly.
NewtekOne, Inc. reported an insider equity award for Halli Razon-Feingold, its SVP, Human Resources & CAO and a director. On January 14, 2026, she was granted 1,258 restricted shares of NewtekOne common stock under the shareholder- and board-approved 2023 Stock Incentive Plan, with 100% of the shares vesting after twenty-four months.
During the restricted period, dividends will be paid in the form of common stock, and those dividend shares will follow the same vesting schedule. After this award, Razon-Feingold beneficially owns 22,915 shares of NewtekOne common stock directly.
NewtekOne, Inc. reported an insider equity award for its Chief Legal Officer, Michael A. Schwartz. On January 14, 2026, he received 2,247 restricted shares of NewtekOne common stock under the shareholder- and board-approved 2023 Stock Incentive Plan, at a reference price of $13.91 per share, bringing his directly held total to 49,713 shares after the grant.
The award vests 100% after 24 months, meaning the shares become fully owned by him at that time if vesting conditions are met. During the restricted period, dividends are to be paid in additional shares of common stock, and those dividend shares will follow the same vesting schedule as the original restricted stock award.
NewtekOne, Inc. reported that its Chief Financial Officer, Frank M. DeMaria, acquired 1,556 shares of common stock on January 14, 2026 under the company’s 2023 Stock Incentive Plan. These are restricted shares granted as a stock award at a price of $13.91 per share, with 100% of the shares scheduled to vest after twenty-four months. Dividends paid during the restricted period will be in the form of additional common stock and will follow the same vesting schedule. Following this grant, DeMaria beneficially owns 35,220 shares of NewtekOne common stock, held directly.