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NewtekOne, Inc. filings document material-event disclosures for operating results, loan origination updates, dividends, executive compensation arrangements, and listed capital securities. Recent Form 8-K reports furnish quarterly financial press releases, origination-related updates, and declarations on common stock and Series B preferred shares.
The company's SEC records also identify its registered securities, including common stock, multiple exchange-listed notes, and depositary shares representing interests in Series B preferred stock. Governance disclosures include executive employment-agreement renewals and related compensatory arrangements.
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. 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. 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. 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. 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. 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.
Patriot Financial Group announced it acquired 2,307,692 shares of NewtekOne, Inc. common stock, representing 8.06% of the company's outstanding common shares on the basis disclosed. The shares were issued on September 16, 2025 under a Securities Purchase and Exchange Agreement in which Patriot delivered all 20,000 outstanding shares of the Issuer's Series A Convertible Preferred Stock that it previously held and paid $10,000,000 in cash in exchange for the 2,307,692 common shares.
Patriot Fund IV funded its purchase with working capital and reports the acquisition is for investment purposes. The filing lists the members of the Patriot Financial Group, identifies shared voting and dispositive power over the 2,307,692 shares, and states there are no additional contracts, arrangements or proposals relating to control transactions; Item 6 is listed as N/A. The filing includes a Joint Filing Agreement as an exhibit.
NewtekOne, Inc. reported a technical change to its capital structure. On September 17, 2025, the company filed Articles Supplementary in Maryland to eliminate its Series A Convertible Preferred Stock, $0.02 par value per share, as a class or series of authorized stock. The filing notes that no shares of this Series A Preferred Stock were issued or outstanding. All previously authorized Series A Preferred shares were reclassified and redesignated as authorized and unissued shares of the company’s stock without any designation as to class or series. This action simplifies the company’s charter by removing an unused preferred stock series, without indicating any change to existing common stock or outstanding listed notes.