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    SEC Form 144 filed by NewtekOne Inc.

    12/21/23 1:01:09 PM ET
    $NEWT
    Major Banks
    Finance
    Get the next $NEWT alert in real time by email
    Form 144 Filer Information UNITED STATES
    SECURITIES AND EXCHANGE COMMISSION
    Washington, D.C. 20549

    Form 144

    NOTICE OF PROPOSED SALE OF SECURITIES
    PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

    FORM 144

    144: Filer Information

    Filer CIK
    0001346166
    Filer CCC
    XXXXXXXX
    Is this a LIVE or TEST Filing? Radio button checked LIVE Radio button not checked TEST

    Submission Contact Information

    Name
    Phone
    E-Mail Address

    144: Issuer Information

    Name of Issuer
    NewtekOne, Inc.
    SEC File Number
    001-36742
    Address of Issuer
    4800 T REX AVENUE
    SUITE 120
    BOCA RATON
    FLORIDA
    33431
    Phone
    212-356-9500
    Name of Person for Whose Account the Securities are To Be Sold
    Mulia Salvatore Francis
    See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

    Relationship to Issuer
    Director

    144: Securities Information

    Title of the Class of Securities To Be SoldName and Address of the BrokerNumber of Shares or Other Units To Be SoldAggregate Market ValueNumber of Shares or Other Units OutstandingApproximate Date of SaleName the Securities Exchange
    Common
    Ameriprise Financial
    2865 Ameriprise Financial Center
    Minneapolis � MN � 55474
    75010755.002464818112/21/2023
    NASDAQ


    Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

    144: Securities To Be Sold

    Title of the ClassDate you AcquiredNature of Acquisition TransactionName of Person from Whom AcquiredIs this a Gift?Date Donor AcquiredAmount of Securities AcquiredDate of PaymentNature of Payment *
    Common08/22/2011Previous Stock AwardNewtekOne IncCheckbox not checked75008/22/2011Previously vested stock award

    * If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.



    Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

    144: Securities Sold During The Past 3 Months

    Name and Address of SellerTitle of Securities SoldDate of SaleAmount of Securities SoldGross Proceeds
    Salvatore Mulia
    6384 Costa Circle
    Naples � FL � 34113
    Common11/21/202375010147.50
    Salvatore Mulia
    6384 Costa Circle
    Naples � FL � 34113
    Common10/20/202375010275.00
    Salvatore Mulia
    6384 Costa Circle
    Naples � FL � 34113
    Common09/21/202375011535.00

    144: Remarks and Signature

    Remarks
    Sale made as part of 10B5-1 Plan
    Date of Notice
    12/21/2023
    Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1
    06/20/2023

    ATTENTION:

    The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
    Signature
    /s/ Alexander Meginnes as a duly authorized representative of Ameriprise Financial Services Inc, as attorney-in-fact for Salvatore Mulia

    ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

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