Filing Details
- Accession Number:
- 0000909012-17-000064
- Form Type:
- 13G Filing
- Publication Date:
- 2017-02-15 14:03:46
- Filed By:
- Rubin Jeffrey
- Company:
- Newtekone Inc. (NASDAQ:NEWT)
- Filing Date:
- 2017-02-15
- SEC Url:
- 13G Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Jeffrey G. Rubin | 578,144 | 25,565 | 603,709 | 4.13% |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 3)*
NEWTEK BUSINESS SERVICES, CORP.
------------------------------------
(Name of Issuer)
COMMON STOCK, $0.02 PAR VALUE
------------------------------------
(Title of Class of Securities)
652526203
--------------------
(CUSIP Number)
December 31, 2016
-------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[x] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
PAGE 1 OF 4 PAGES
<PAGE>
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Jeffrey G. Rubin
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(b) [X]
-------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
578,144 shares
NUMBER OF -----------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 25,565 shares
EACH -----------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 578,144 shares
----------------------------------------------------
8 SHARED DISPOSITIVE POWER
25,565 shares
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
603,709 shares*
*Not to be construed as an admission of beneficial ownership
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
N/A
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.13%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
PAGE 2 OF 4 PAGES
<PAGE>
Item 1(a) Name of Issuer:
Newtek Business Services, Corp.
Item 1(b) Address of Issuer's Principal Executive Offices:
1981 Marcus Avenue, Suite #130
Lake Success, New York 11042
Item 2(a) Name of Person Filing:
Jeffrey G. Rubin
Item 2(b) Address of the Principal Office or, if none, Residence:
40 Cutter Mill Road, Suite 302
Great Neck, NY 11021
Item 2(c) Citizenship:
United States
Item 2(d) Title of Class of Securities:
Common Stock, $0.02 par value
Item 2(e) CUSIP Number:
652526203
Item 3 N/A
Item 4 Ownership:
(a) Amount Beneficially Owned:
603,709 shares of common stock, par value $0.02,
with 578,144 shares held by Jeffrey G. Rubin
personally, 25,277 shares held by the J. Rubin
Family Foundation, of which Jeffrey G. Rubin is a
trustee, and for which Jeffrey G. Rubin disclaims
beneficial ownership, 220 shares held in a Uniform
Gifts to Minors Act (UGMA) account for the benefit
of Jordana Rubin, for which Jeffrey G. Rubin
disclaims beneficial ownership, and 68 shares held
in a UGMA account for the benefit of Amanda Rubin,
for which Jeffrey G. Rubin disclaims beneficial
ownership.
(b) Percent of Class: 4.13%
(c) Number of shares as to which such person has:
(i) sole power to vote or direct the vote:
578,144 shares
(ii) shared power to vote or direct the vote:
25,565 shares
(iii) sole power to dispose or to direct the
disposition of:
578,144 shares
(iv) shared power to dispose or to direct the
disposition of:
25,565 shares
PAGE 3 OF 4 PAGES
<PAGE>
Item 5 Ownership of Five Percent or Less of a Class: If this
statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be
the beneficial owner of more than five percent of the
class of securities, check the following [X].
Item 6 Ownership of More than Five Percent on Behalf of
Another Person:
Not applicable.
Item 7 Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on By the
Parent Holding Company:
Not applicable.
Item 8 Identification and Classification of Members of the
Group:
Not applicable.
Item 9 Notice of Dissolution of a Group:
Not applicable.
Item 10 Certification:
By signing below I certify that, to the best of my
knowledge and belief, the securities referred to above
were acquired and are held in the ordinary course of
business and were not acquired and are not held for the
purpose of or with the effect of changing or influencing
the control of the issuer of such securities and were
were not acquired in connection with or as a participant
in any transaction having such purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: February 15, 2017
By: /S/ JEFFREY G. RUBIN
-------------------------------------
Name: Jeffrey G. Rubin
PAGE 4 OF 4 PAGES