Company: NEWTP
Filing Date: 2025-04-24
Form Type: DEF 14A
Source: 0001587987-25-000073
Chunk: 8

Company: NewtekOne, Inc.
Filing Date: 2025-04-24
Form: DEF 14A
Chunk 8
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. The Schedule 13G discloses that The Vanguard Group had shared voting power as to 10,576 Common Shares, sole dispositive power as to 1,330,107 Common Shares and shared dispositive power as to 20,995 Common Shares.

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(3) Based on a review of the Schedule 13G filed on January 26, 2024 by BlackRock, Inc. The Schedule 13G discloses that BlackRock, Inc. had sole voting power as to 1,760,280 Common Shares and sole dispositive power as to 1,793,129 Common Shares.

Beneficial ownership of each current director, the nominees for director and the Company’s executive officers

The Company’s directors are divided into two groups — non-independent directors and independent directors. Independent directors are “Independent Directors” as defined by Nasdaq Stock Market corporate governance listing standards (the “Nasdaq listing rules”). Unless otherwise indicated, the addresses of all executive officers and directors are c/o NewtekOne, Inc., 4800 T-Rex Avenue, Suite 120, Boca Raton, FL 33431.

| Beneficial Ownership of Shares by Directors and Executive Officers:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         Name of Beneficial Owner |     | Number of           
 Shares Beneficially 
 Owned               |           |     | Percent of 
 Class      |     |   |   |
| Non-Independent Directors:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |     |                     |           |     |            |     |   |   |
| Barry Sloane, CEO and President(1)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |     |                     | 1,364,130 |     |            | 5.0 |   | % |
| Peter Downs, President, Newtek Bank(2)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |     |                     |    93,185 |     |            |     | * |   |
| Halli Razon-Feingold, Chief Administrative Officer(3)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |     |                     |    32,230 |     |            |     | * |   |
| Independent Directors:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                               |     |                     |           |     |            |     |   |   |
| Gregory Zink(7)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      |     |                     |    39,090 |     |            |     | * |   |
| Richard Salute(7)                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |