Company: NEWTP
Filing Date: 2025-08-21
Form Type: 8-K
Source: 0001587987-25-000157
Chunk: 3

Company: NewtekOne, Inc.
Filing Date: 2025-08-21
Form: 8-K
Item: Item 8.01
Chunk 3
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Item 8.01.

Other Events.

Copies of the opinions of Michael A. Schwartz, Chief Legal Officer and Corporate Secretary of the Company and Robert Fraley, Senior Counsel of the Company, relating to the legality of the issuance and sale of the Preferred Stock and Depositary Shares are attached as Exhibit 5.1 and Exhibit 5.2 to this Current Report on Form 8-K, respectively. Exhibits 5.1, 5.2, 23.1 (included in Exhibit 5.1) and 23.2 (included in Exhibit 5.2) of this Current Report on Form 8-K are hereby incorporated by reference herein.

The Depositary Shares were issued pursuant to a Deposit Agreement, dated as of August 20, 2025 (the “ Deposit Agreement”), by and among the Company, Equiniti Trust Company, LLC, and the holders from time to time of the depositary receipts described therein, a copy of which is filed as Exhibit 4.2 to this Current Report on Form 8-K and incorporated herein by reference. The form of certificate representing the Series B Preferred Stock is attached as Exhibit 4.2 to this Current Report on Form 8-K. The form of depositary receipt representing the Depositary Shares is filed and included as Exhibit A to the Deposit Agreement and is incorporated herein by reference.

The Depositary Shares were offered and sold pursuant to the Company’s registration statement on Form S-3 (Registration No. 333-269452) filed with the Securities and Exchange Commission (the “ SEC”) and became effective on July 27, 2023, and a prospectus supplement dated August 13, 2025.

Item 9.01 Financial Statement and Exhibits