Welcome to our dedicated page for NewtekOne SEC filings (Ticker: NEWTZ), 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.
The SEC filings page for NewtekOne, Inc. 5.50% Notes Due 2026 (NEWTZ) provides access to regulatory documents filed by NewtekOne, Inc. that relate to this series of notes and the issuer’s broader capital structure. A Form 8-K identifies NEWTZ as "5.50% Notes due 2026" and lists it among the securities registered under Section 12(b) of the Exchange Act and traded on the Nasdaq Global Market.
In the referenced 8-K, NewtekOne, Inc. reports a material event under Item 5.03 concerning amendments to its articles of incorporation. The Company filed Articles Supplementary with the Maryland State Department of Assessments and Taxation to eliminate its Series A Convertible Preferred Stock as a class or series of authorized stock, since no shares of that series were issued and outstanding. Those shares were reclassified and redesignated as authorized and unissued shares without designation as to class or series. The Articles Supplementary are attached as Exhibit 3.1 to the filing.
Filings like this are important for understanding how NewtekOne, Inc. manages its authorized capital and how various securities, including NEWTZ, fit within the Company’s overall structure. On this page, users can review current reports on Form 8-K and other Exchange Act filings that mention the issuer and its registered securities, such as NEWTZ, NEWT, NEWTI, NEWTG, NEWTH, and NEWTP.
Stock Titan enhances these filings with AI-powered summaries that explain the main points of each document in clear language, helping readers interpret items such as charter amendments, registered securities tables, and exhibit references. Real-time updates from the SEC’s EDGAR system ensure that new filings from NewtekOne, Inc. appear promptly, while AI-generated highlights make it easier to identify sections that relate to the 5.50% Notes due 2026 and other listed securities.
NewtekOne, Inc. renewed one-year employment agreements for key leaders, including CEO and President Barry Sloane, Chief Legal Officer Michael A. Schwartz, CFO Frank DeMaria, and Newtek Bank, N.A. President Peter Downs.
The agreements for Downs, Schwartz, and DeMaria now provide a Non-renewal Payment equal to one year of base compensation if their contracts are not renewed. All other terms of these agreements, as well as Barry Sloane’s employment agreement and the existing Change in Control Agreements, remain unchanged from versions previously filed in earlier reports.
The Vanguard Group filed Amendment No. 1 to a Schedule 13G/A reporting 0% beneficial ownership — 0 shares — of NewtekOne Inc common stock. The amendment states that on January 12, 2026 Vanguard completed an internal realignment that disaggregated certain subsidiaries' holdings, and those subsidiaries will report separately in reliance on SEC Release No. 34-39538.
The filing is signed by Ashley Grim as Head of Global Fund Administration on March 27, 2026.
NewtekOne, Inc. announced that its board declared a quarterly cash dividend of $0.19 per share on its outstanding common stock. The dividend will be paid on April 1, 2026 to shareholders of record on March 24, 2026.
The board also declared a dividend on the Company’s 8.500% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series B of $21.25 per Preferred Share, or $0.53125 per depositary share, also payable on April 1, 2026 to holders of record on March 24, 2026.
NewtekOne, Inc. proposes an at-the-market registration to offer up to $50,000,000 aggregate principal amount or liquidation preference of Notes and Depositary Shares.
The program permits sales from time to time of 8.50% Fixed-Rate Reset Preferred Stock depositary shares, 8.50% and 8.625% Fixed Rate Senior Notes due 2029, and/or 8.50% Fixed Rate Senior Notes due 2031 through B. Riley, Compass Point and Roth Capital as placement agents. Placement Agents will receive a 2.00% commission on gross sales. Net proceeds are intended for general corporate purposes; if the full $50,000,000 is sold, estimated net proceeds are approximately $48,800,000 after fees and expenses.
NewtekOne, Inc. director Thomas David Cestare filed an initial ownership report on Form 3. The filing shows he directly holds 70 shares of NewtekOne common stock as of the reported date. This is a baseline disclosure of his beneficial ownership, not a reported purchase or sale.
NewtekOne, Inc. completed a private offering of $15.0 million aggregate principal amount of its 8.375% note due 2033 to an institutional accredited investor. The exempt transaction relied on Section 4(a)(2) of the Securities Act, and the note is not registered for public sale.
The company received net proceeds of approximately $14.9 million and plans to use the funds for general corporate purposes. The note bears interest at 8.375% per year, payable semiannually starting August 1, 2026, and matures on March 1, 2033.
NewtekOne may redeem the note at a make-whole price before January 1, 2033, or at 100% of principal plus accrued interest thereafter. The note is an unsecured, unsubordinated obligation ranking equally with NewtekOne’s other unsecured unsubordinated debt and is structurally and effectively subordinated to subsidiary and secured indebtedness.
NewtekOne, Inc. furnished a current report stating that it issued a press release with its financial results for the quarter and year ended December 31, 2025. The press release is attached as Exhibit 99.1. The company also includes standard cautionary language about forward-looking statements and clarifies that the exhibit is furnished, not filed, under securities laws.
NewtekOne, Inc. reported that its Board of Directors increased its size from seven to eight members and elected Thomas Cestare as a Class I director. His term runs until the 2027 Annual Meeting of Shareholders, and he will serve until a successor is elected and qualified.
Cestare, a banking veteran with over 35 years of experience, is a partner and chief operating officer of Patriot Financial Partners and serves on the board of subsidiary Newtek Bank, N.A. He was previously executive vice president and chief financial officer of Beneficial Bancorp and held senior roles at Sovereign Bancorp and KPMG.
The filing notes that Cestare’s affiliation with Patriot is relevant to a prior Patriot Exchange Transaction, in which 20,000 shares of Series A Convertible Preferred Stock and $10 million in cash were exchanged for 2,307,692 shares of NewtekOne common stock, which may be considered a related party transaction. Cestare will receive standard director fees and has been appointed to the Board’s Audit Committee.
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.