Company: NEWTP
Filing Date: 2025-04-24
Form Type: DEF 14A
Source: 0001587987-25-000073
Chunk: 7

Company: NewtekOne, Inc.
Filing Date: 2025-04-24
Form: DEF 14A
Chunk 7
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ers of More Than 5% of Outstanding Stock

Based on filings made under Section 13(d) and 13(g) of the Exchange Act reporting ownership of shares and percent of class as of December 31, 2024, the only persons known by us to be beneficial owners of more than 5% of our common stock as of April 15, 2025 were as follows:

| Name and Address of Beneficial Owner:                                                                                                                                        |     | Number of           
 Shares Beneficially 
 Owned               |           |     | Percent of 
 Class      |     |     |   |
| Barry Sloane, CEO(1)c/o NewtekOne, Inc.                                                                                                                                      
 4800 T-Rex Avenue, Suite 120                                                                                                                            Boca Raton, FL 33431 |     |                     | 1,364,130 |     |            | 5.0 |     | % |
| The Vanguard Group(2)                                                                                                                                                        
 100 Vanguard Blvd.                                                                                                                                                           
 Malvern, PA 19355                                                                                                                                                            |     |                     | 1,351,102 |     |            | 5.0 |     | % |
| BlackRock, Inc.(3)                                                                                                                                                           
 50 Hudson Yards                                                                                                                                                              
 New York, NY 10001                                                                                                                                                           |     |                     | 1,793,129 |     |            | 6.6 |     | % |

(1) Mr. Sloane holds and has sole voting power as to 1,170,459 Common Shares, and shared voting power as to 193,671 Common Shares owned by The B Sloane Family Foundation, a 501(c)(3) private foundation; and sole dispositive power over 1,170,459 Common Shares, and has shared dispositive power as to 193,671 Common Shares owned by The B Sloane Family Foundation; includes 47,081 restricted Common Shares (the “Restricted Stock Awards”) granted to Mr. Sloane in August 2022, plus accrued dividends, vesting on August 15, 2025, 61,652 Restricted Stock Awards granted in December 2022, plus accrued dividends, vesting on January 15, 2026; and 11,532 Restricted Stock Awards granted to Mr. Sloane in October 2024, plus accrued dividends, vesting on October 15, 2025.

(2) Based on a review of the Schedule 13G filed on February 13, 2024 by The Vanguard Group