Company: NEWTP
Filing Date: 2025-05-12
Form Type: 10-Q
Source: 0001587987-25-000084
Chunk: 1

Company: NewtekOne, Inc.
Filing Date: 2025-05-12
Form: 10-Q
Item: Part II, Item 1A
Chunk 1
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 by reference to Exhibit 99.1 to Newtek’s Current Report on Form 8-K, filed June 18, 2024). 10.1Amendment to Employment Agreement by and between NewtekOne, Inc. and Barry Sloane dated as of January 1, 2025, filed herewith.10.2Employment Agreement by and between Newtek Bank N.A., and Peter Downs dated as of April 22, 2025, filed herewith.10.3Employment Agreement by and between NewtekOne, Inc., and Michael Schwartz dated as of April 22, 2025, filed herewith.10.4Employment Agreement by and between NewtekOne, Inc., and Frank DeMaria dated as of April 22, 2025, filed herewith.31.1*Certification by Principal Executive Officer required by Rules 13a-14 and 15d-14(a) under the Securities Exchange Act of 1934, as amended, filed herewith.31.2*Certification by Principal Financial Officer required by Rule 13a-14 under the Securities Exchange Act of 1934, as amended, furnished herewith.32.1**Certification by Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 filed herewith.32.2**Certification by Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 filed herewith.101Interactive Data Files Pursuant to Rule 405 of Regulation S-T: (i) the Consolidated Balance Sheets as of March 31, 2025 and December 31, 2024; (ii) the Consolidated Statements of Operations for the three months ended March 31, 2025 and 2024; (iii) the Consolidated Statements of Changes in Shareholders’ Equity for the three months ended March 31, 2025 and 2024; (iv) the Consolidated Statements of Cash Flows for the three months ended March 31, 2025 and 2024; and (v) the Notes to the Consolidated Financial Statements.104Cover Page Interactive Data File (formatted in inline XBRL and contained in Exhibit 101)

* Filed herewith

** Furnished herewith

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