NewtekOne Inc. filed SEC Form 8-K: Results of Operations and Financial Condition, Financial Statements and Exhibits (Amendment)
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Finance
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K/A
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
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(Exact Name of Company as Specified in its Charter)
| (State or Other Jurisdiction of Incorporation or Organization) | (Commission File No.) | (I.R.S. Employer Identification No.) | ||||||
(Address of principal executive offices and zip code)
(212 ) 356-9500
(Company’s telephone number, including area code)
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Securities registered pursuant to Section 12(b) of the Act:
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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):
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).
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Forward-Looking Statements
Statements in NewtekOne, Inc.’s (“NewtekOne” or the “Company”) Current Report on Form 8-K (including the exhibit) contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These statements are based on management’s current expectations and beliefs and are subject to significant risks and uncertainties. Actual results may differ from those set forth in the forward-looking statements. See “Note Regarding Forward-Looking Statements” and the sections entitled “Risk Factors” in the Company's filings with the Securities and Exchange Commission and 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.
EXPLANATORY NOTE
NewtekOne is filing this Amendment No. 1 (the “Amendment”) to the Company’s Form 8-K which was originally filed with the Securities and Exchange Commission on November 7, 2023 (“the Original Filing”), to furnish as Exhibit 99.1 to the Amendment, a revised version of the press release originally furnished as Exhibit 99.1 to the Original Filing. The press release attached as Exhibit 99.1 to the Original Filing contained incorrect quarter-to-date and year-to-date earnings per share (EPS) figures. Basic and Diluted EPS for the quarter-to-date and year-to-date period ended September 30, 2023 was $0.38 and $1.10, respectively, and not $0.37 and $1.06, respectively. The press release published by the Company on November 7, 2023, and found on the Company's website (https://investor.newtekbusinessservices.com/news-releases/news-release-details/newtekone-inc-reports-third-quarter-2023-financial-results) was correct.
Item 2.02. Results of Operations and Financial Condition.
On November 7, 2023, NewtekOne issued a press release entitled "NewtekOne, Inc. Reports Third Quarter 2023 Financial Results" (the "Press Release"). A copy of the Press Release is furnished as Exhibit 99.1 to this Current Report on Form 8-K/A.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
| Exhibit Number | Description | |||||||
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. | ||||||||
| Date: November 13, 2023 | By: | /S/ BARRY SLOANE | ||||||
| Barry Sloane | ||||||||
| Chief Executive Officer, President and Chairman of the Board | ||||||||