# EDGAR Filing Document

**Accession Number:** 0001587987
**File Stem:** 0001587987-23-000057
**Filing Date:** 2023-2
**Character Count:** 11025
**Document Hash:** b80021297eda29e10d3776c4379d8345
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001587987-23-000057.hdr.sgml**: 20230227

**ACCESSION NUMBER**: 0001587987-23-000057

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 15

**CONFORMED PERIOD OF REPORT**: 20230227

**ITEM INFORMATION**: Results of Operations and Financial Condition

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230227

**DATE AS OF CHANGE**: 20230227

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NewtekOne, Inc.
- **CENTRAL INDEX KEY:** 0001587987
- **STANDARD INDUSTRIAL CLASSIFICATION:** NATIONAL COMMERCIAL BANKS [6021]
- **IRS NUMBER:** 463755188
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36742
- **FILM NUMBER:** 23676718

**BUSINESS ADDRESS:**
- **STREET 1:** 4800 T REX AVENUE
- **STREET 2:** SUITE 120
- **CITY:** BOCA RATON
- **STATE:** FL
- **ZIP:** 33431
- **BUSINESS PHONE:** 212-356-9500

**MAIL ADDRESS:**
- **STREET 1:** 4800 T REX AVENUE
- **STREET 2:** SUITE 120
- **CITY:** BOCA RATON
- **STATE:** FL
- **ZIP:** 33431

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Newtek Business Services Corp.
- **DATE OF NAME CHANGE:** 20130930

?xml version="1.0" ? newt-20230227

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

Washington, D.C. 20549

FORM 8-K

**CURRENT REPORT**

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

**February 27, 2023**

Date of Report (date of Earliest Event Reported)

**NEWTEKONE, INC.**

(Exact Name of Company as Specified in its Charter)

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| | | |
|:---|:---|:---|
| **Maryland** | **814-01035** | **46-3755188** |
| (State or Other Jurisdiction of Incorporation or Organization) | (Commission File No.) | (I.R.S. Employer Identification No.) |

---

**4800 T Rex Avenue, Suite 120, Boca Raton, Florida 33431**

(Address of principal executive offices and zip code)

 **(212) 356-9500**

(Company's telephone number, including area code)

(Former name or former address, if changed from last report)

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Common Stock, par value $0.02 per share | NEWT | Nasdaq Global Market LLC |
| 5.75% Notes due 2024 | NEWTL | Nasdaq Global Market LLC |
| 5.50% Notes due 2026 | NEWTZ | Nasdaq Global Market LLC |

---

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

◻&nbsp;&nbsp;&nbsp;&nbsp;Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

◻&nbsp;&nbsp;&nbsp;&nbsp;Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

◻&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

◻&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company &nbsp;&nbsp;&nbsp;&nbsp;□

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. □

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**Forward-Looking Statements**

Statements in this Current Report on Form 8-K (including the exhibits), including statements regarding NewtekOne, Inc.'s ("NewtekOne" or the "Company") contain forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements are based on the current beliefs and expectations of NewtekOne's management and are subject to significant risks and uncertainties. Actual results may differ from those set forth in the forward-looking statements. Factors that could cause NewtekOne's actual results to differ materially from those described in the forward-looking statements can be found in NewtekOne's Annual Report on Form 10-K for the year ended December 31, 2021, and Quarterly Report on Form 10-Q for the quarters ended March 31, 2022, June 30, 2022 and September 30, 2022, which have been filed with the Securities and Exchange Commission and are available on NewtekOne's website (https://investor.newtekbusinessservices.com/sec-filings), and on the Securities and Exchange Commission's website (www.sec.gov). Any forward-looking statements made by or on behalf of NewtekOne speak only as to the date they are made, and NewtekOne does not undertake to update forward-looking statements to reflect the impact of circumstances or events that arise after the date the forward-looking statements were made.

**Item 2.02.**&nbsp;&nbsp;&nbsp;&nbsp; **Results of Operations and Financial Condition.**

On February 27, 2023 the Company issued a press release entitled "NewtekOne, Inc. Declares Quarterly Dividend of $0.18 per Share" (the "Press Release"). A copy of the Press Release is furnished as Exhibit 99.1 to this Current Report on Form 8-K. The information in this report shall be deemed "filed" for purposes of the Securities Exchange Act of 1934, as amended.

**Item 9.01.** &nbsp;&nbsp;&nbsp;&nbsp;**Financial Statements and Exhibits.**

**(d) Exhibits.**

---

| | |
|:---|:---|
| **Exhibit Number** | **Description** |
| <u>[99.1](feb272023dividendpressrele.htm)</u> | <u>[Press Release, dated February 27, 2023, entitled "NewtekOne, Inc. Declares Quarterly Dividend of $0.18 per Share"](feb272023dividendpressrele.htm)</u> |

---

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**SIGNATURES**

In accordance with the requirements of the Securities Exchange Act of 1934, the registrant has caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

---

| | | |
|:---|:---|:---|
| | **NEWTEKONE, INC.** | **NEWTEKONE, INC.** |
| Date: February 27, 2023 | By: | /S/&nbsp;&nbsp;&nbsp;&nbsp;BARRY SLOANE &nbsp;&nbsp;&nbsp;&nbsp;  |
|  |  | **Barry Sloane** |
|  |  | **Chief Executive Officer, President and Chairman of the Board** |

---

## Exhibit 99.1

---

| |
|:---|
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |
| ![newteklogo_option1jpega.jpg](newteklogo_option1jpega.jpg) |

---

**NewtekOne, Inc. Declares Quarterly Dividend of $0.18 per Share**

Boca Raton, FL, February 27, 2023 - NewtekOne, Inc., (the "Company") (NASDAQ: NEWT), today announced that its Board of Directors declared a quarterly cash dividend of $0.18 per share, payable on April 14, 2023 to shareholders of record as of April 4, 2023.

NewtekOne<sup>®</sup>, Your Business Solutions Company<sup>®</sup>*,* is a financial holding company, which along with its bank and non-bank consolidated subsidiaries, provides a wide range of business and financial solutions under the Newtek<sup>®</sup> brand to the small- and medium-sized business ("SMB") market. Since 1999, NewtekOne has provided state-of-the-art, cost-efficient products and services and efficient business strategies to SMB relationships across all 50 states to help them grow their sales, control their expenses and reduce their risk.

NewtekOne and its subsidiaries' business and financial solutions include: banking (Newtek Bank, N.A.), Business Lending, Electronic Payment Processing, Technology Solutions (Cloud Computing, Data Backup, Storage and Retrieval, IT Consulting), eCommerce, Accounts Receivable Financing & Inventory Financing, Insurance Solutions, Web Services, and Payroll and Benefits Solutions.

Newtek<sup>®</sup>, NewtekOne<sup>®</sup>, Newtek Bank, National Association<sup>TM</sup>, Your Business Solutions Company<sup>®</sup> and One Solution for All Your Business Needs<sup>®</sup> are registered trademarks of NewtekOne, Inc.

***Note Regarding Forward-Looking Statements***

*Certain statements in this press release are "forward-looking statements" within the meaning of the rules and regulations of the Private Securities Litigation and Reform Act of 1995. These statements are based on management's current expectations and are subject to uncertainty and changes in circumstances. These statements are not guarantees of future results or occurrences. Actual results and capital and other financial conditions may differ materially from those included in these statements due to a variety of factors. These factors include, among others: macroeconomic and other challenges and uncertainties related to the COVID-19 pandemic, such as the impacts to the U.S. and global economies, as well as the broader impacts to financial markets and the global macroeconomic and geopolitical environments; higher inflation and its impacts; higher interest rates and the impacts on macroeconomic conditions, and NewtekOne, Inc.'s funding costs; NewtekOne, Inc's conversion to a financial holding company, consummation of the acquisition of Newtek Bank, N.A. and Newtek One's limited experience as a financial holding company and owning and operating a bank; and the precautionary statements included in this release. Factors that could cause NewtekOne, Inc's actual results to differ materially from those described in the forward-looking statements can be found in NewtekOne, Inc.'s Annual Report on Form 10-K for the year ended December 31, 2021 and Quarterly Reports on Form 10-Q for the quarters ended March 31, 2022, June 30, 2022, and September 30, 2022, filed May 9, 2022, August 8, 2022, and November 8, 2022, with the* 

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*Securities and Exchange Commission and are available on NewtekOne, Inc's website (https://investor.newtekbusinessservices.com/sec-filings), and on the Securities and Exchange Commission's website (www.sec.gov). Any forward-looking statements made by or on behalf of NewtekOne, Inc. speak only as to the date they are made, and NewtekOne, Inc. does not undertake to update forward-looking statements to reflect the impact of circumstances or events that arise after the date the forward-looking statements were made.*

SOURCE: NewtekOne, Inc.

**<u>Investor Relations & Public Relations</u>**

Contact: Jayne Cavuoto

Telephone: (212) 273-8179 / jcavuoto@newtekone.com

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