Salvatore Francis Mulia - Sep 21, 2023 Form 4 Insider Report for NewtekOne, Inc. (NEWTL)

Role
Director
Signature
Sal Mulia
Stock symbol
NEWTL
Transactions as of
Sep 21, 2023
Transactions value $
-$11,535
Form type
4
Date filed
9/22/2023, 04:50 PM
Previous filing
Sep 20, 2023
Next filing
Oct 20, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NEWTL Common stock Sale -$11.5K -750 -1.2% $15.38 61.5K Sep 21, 2023 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 Pursuant to 10b5-1 plan adopted by the Reporting Person on June 20, 2023.