31 results
CORRESP
NEWT
NewtekOne Inc
2 May 22
Correspondence with SEC
12:00am
to be regulated as a BDC under the 1940 Act,” please consider adding that shareholders would no longer have the protection of a code of ethics that is applicable … to all directors, officers and employees, and that code of conduct must comply with the definition of a “code of ethics” under Section 406(c
10-K/A
2015 FY
NEWT
NewtekOne Inc
29 Apr 16
Annual report (amended)
12:00am
and solicitation for the next annual meeting.
Code of Ethics
We have adopted and will maintain a code of ethics that establishes procedures for personal … code of ethics will generally not permit investments by our employees in securities that may be purchased or held by us. We may be prohibited under
POS EX
NEWT
NewtekOne Inc
25 Jun 20
Additional exhibits for listing
5:27pm
).
Not applicable.
Code of Ethics (Incorporated by reference to Exhibit R to Newtek’s Registration Statement on Form N-2, No. 333-191499, filed November 3 … , 2014).
Code of Business Conduct and Ethics of Registrant (Incorporated by reference to Exhibit 99.1 to Newtek’s Registration Statement on Form N-2
POS EX
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5 Jul 18
Additional exhibits for listing
12:00am
POS EX
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14 Dec 18
Additional exhibits for listing
5:00pm
POS EX
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28 Feb 20
Additional exhibits for listing
10:42am
POS EX
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29 Jul 19
Additional exhibits for listing
1:40pm
POS EX
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10 Jul 19
Additional exhibits for listing
5:19pm
DEFR14A
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5 May 23
Revised proxy
4:46pm