Company: NEWTP
Filing Date: 2025-11-18
Form Type: S-4
Source: 0001628280-25-052855
Chunk: 47

Company: NewtekOne, Inc.
Filing Date: 2025-11-18
Form: S-4
Chunk 47
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 the prohibition contained in Section 18(a)(1)(B) as modified by Section 61(a)(2) of the 1940 Act, as such obligation may be amended or superseded, in order to maintain such business development company’s status as a regulated investment company under Subchapter M of the Internal Revenue Code of 1986, as amended. |     | The New Notes Indenture does not contain any similar restrictions based on or related to the 1940 Act. |

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|                                      |     | Old Notes                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |     | New Notes                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |
| Consolidation, Merger Sale of Assets |     | Section 801 of the Old Notes Indenture                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             
 The Company shall not consolidate with or merge with or into any other entity or convey or transfer all or substantially all of its properties and assets to any Person, unless:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   
 (1)either the Company shall be the continuing entity, or the entity (if other than the Company) formed by such consolidation or into which the Company is merged or the Person which acquires by conveyance or transfer the properties and assets of the Company substantially as an entirety shall expressly assume, by an indenture supplemental hereto, executed and delivered to the Trustee, in form satisfactory to the Trustee, the due and punctual payment of the principal of (and premium, if any) and interest, if any, on all the Securities and the performance of every covenant of the Old Notes Indenture on the part of the Company to be performed or observed; 
 (2)immediately after giving effect to such transaction, no Default or Event of Default shall have happened and be continuing; and                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  
 (3)the Company and the successor Person have delivered to the Trustee an Officers’ Certificate and an Opinion of Counsel each stating that such consolidation, merger, conveyance or transfer and such supplemental indenture comply with this Article and that all conditions precedent provided for in the Old Notes Indenture relating to such transaction have been complied with.                                                                                                                                                                                                                                                                                             |     | Section 8.1 of the New Notes Indenture                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   
 The Company shall not consolidate with or merge into any other Person or convey, transfer or lease its properties and assets substantially as an entirety to any Person, and the Company shall not permit any Person to consolidate with or merge into the Company