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.
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.