Company: NEWTP
Filing Date: 2025-05-12
Form Type: 10-Q
Source: 0001587987-25-000084
Chunk: 7

Company: NewtekOne, Inc.
Filing Date: 2025-05-12
Form: 10-Q
Item: Part II, Item 6
Chunk 7
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Table of Contents

ITEM 6. EXHIBITS.

NumberDescription3.1Amended and Restated Articles of Incorporation of Newtek Business Services Corp. (Previously filed in connection with Pre-Effective Amendment No. 3 to the Registration Statement on Form N-2 (File No. 333-191499) filed on November 3, 2014, and incorporated by reference herein).3.2Amended Bylaws of NewtekOne, Inc. (Incorporated by reference to Exhibit 99.1 of NewtekOne, Inc’s Current Report on Form 8-K, filed January 24, 2023).3.3Articles Supplementary to the Amended and Restated Articles of Incorporation of NewtekOne, Inc (Incorporated by reference to Exhibit 3.1 to Newtek’s Current Report on Form 8-K filed February 7, 2023).3.4Articles of Amendment to the Amended and Restated Articles of Incorporation of NewtekOne, Inc. (Incorporated 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