AMENDED AND RESTATED FORM OF CUSTODY AGREEMENT dated as of October 30, 2015Custody Agreement • November 5th, 2015 • Newtek Business Services Corp. • New York
Contract Type FiledNovember 5th, 2015 Company JurisdictionBy this AMENDED AND RESTATED CUSTODY AGREEMENT (this “Agreement”) dated as of October 30, 2015, by and between Newtek Business Services Corp. (and any successor or permitted assign, the “Company”), a corporation organized under the laws of the State of Maryland, having its principal place of business at 212 West 35th Street, 2nd Floor, New York, NY 10001, and U.S. BANK NATIONAL ASSOCIATION (and any successor or permitted assign acting as custodian hereunder, the “Custodian”), a national banking association having a place of business at 60 Livingston Avenue, St. Paul, MN 55107, the Company and the Custodian hereby amend and restate the Custody Agreement dated November 14, 2014 entered into by and between the Company and the Custodian.
25022134.2 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into this 1st day of November, 2021, by and between Newtek Business Services Corp., a Maryland corporation (the “Company”), and the undersigned...Indemnification Agreement • November 12th, 2021 • Newtek Business Services Corp. • Maryland
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ContractUnderwriting Agreement • May 28th, 2024 • NewtekOne, Inc. • National commercial banks • New York
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NEWTEK BUSINESS SERVICES CORP. Employment Agreement with Michael A. SchwartzEmployment Agreement • March 23rd, 2016 • Newtek Business Services Corp. • New York
Contract Type FiledMarch 23rd, 2016 Company JurisdictionPREAMBLE. This Agreement entered into this 1st day of March 2016, by and between NEWTEK BUSINESS SERVICES CORP. (the “Company”) and MICHAEL A. SCHWARTZ (the “Executive”), effective immediately.
NEWTEKONE, INC. _____________________________ EMPLOYMENT AGREEMENT WITH NICHOLAS J. LEGER _____________________________ PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 1st day of March 2023 (the “Effective Date”), by...Employment Agreement • March 16th, 2023 • NewtekOne, Inc. • National commercial banks • New York
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NEWTEK BUSINESS SERVICES CORP. Common Stock, $0.02 par value per share FORM OF EQUITY DISTRIBUTION AGREEMENT Dated [ ], 20[ ]Equity Distribution Agreement • August 25th, 2016 • Newtek Business Services Corp. • New York
Contract Type FiledAugust 25th, 2016 Company JurisdictionNewtek Business Services Corp., a Maryland corporation (the “Company”), proposes to issue and sell through [ ], acting as agent and/or principal (the “Sales Manager”), up to [ ] shares of common stock (the “Shares”), par value $0.02 per share (the “Common Stock”), of the Company.
25022134.2 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into this 1st day of November, 2021, by and between Newtek Business Services Corp., a Maryland corporation (the “Company”), and the undersigned...Indemnification Agreement • November 12th, 2021 • Newtek Business Services Corp. • Maryland
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1- UNDERWRITING AGREEMENT January 14, 2021 Keefe, Bruyette & Woods, Inc. As Representative of the several Underwriters named in Schedule A hereto Keefe, Bruyette & Woods, Inc. 787 7th Avenue 4th Floor New York, NY 10019 Ladies and Gentlemen: Newtek...Underwriting Agreement • January 22nd, 2021 • Newtek Business Services Corp. • New York
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116238/2 NEWTEKONE, INC. _____________________________ EMPLOYMENT AGREEMENT WITH BARRY SLOANE _____________________________ PREAMBLE. This Employment Agreement (the “Agreement”) is entered into as of the 5th day of April 2024 (the “Effective Date”),...Employment Agreement • May 10th, 2024 • NewtekOne, Inc. • National commercial banks • New York
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NEWTEK BUSINESS SERVICES CORP. 3,000,000 Shares of Common Stock Equity Distribution Agreement Dated as of June 25, 2020Equity Distribution Agreement • June 25th, 2020 • Newtek Business Services Corp. • New York
Contract Type FiledJune 25th, 2020 Company JurisdictionNewtek Business Services Corp., a Maryland corporation (the “Company”) confirms its agreement (this “Agreement”) with the several placement agents named in Schedule A hereto (each a “Placement Agent,” or collectively “Placement Agents”), as follows:
AMENDED AND RESTATED GUARANTY OF PAYMENT AND PERFORMANCEGuaranty of Payment and Performance • June 24th, 2015 • Newtek Business Services Corp.
Contract Type FiledJune 24th, 2015 CompanyTHIS AMENDED AND RESTATED GUARANTY OF PAYMENT AND PERFORMANCE (this “Guaranty”) is made as of June 18, 2015 by Newtek Business Services Corp., a Maryland corporation and successor-in-interest to Newtek Business Services, Inc., a New York corporation, with its principal executive offices at 212 West 35th Street, New York, New York 10001 (“Guarantor”), in favor of Capital One, National Association having an address at 299 Park Avenue, New York, New York 10171 (“Lender”).
NEWTEK BUSINESS SERVICES CORP. Employment Agreement with Jennifer C. EddelsonEmployment Agreement • March 23rd, 2016 • Newtek Business Services Corp. • New York
Contract Type FiledMarch 23rd, 2016 Company JurisdictionPREAMBLE. This Agreement entered into this 1st day of March 2016, by and between NEWTEK BUSINESS SERVICES CORP. (the “Company”) and JENNIFER C. EDDELSON (the “Executive”), effective immediately.
2,250,000 Shares NEWTEK BUSINESS SERVICES CORP. Common Stock, Par Value $0.02 Per Share Underwriting Agreement Dated as of January 25, 2017Underwriting Agreement • January 30th, 2017 • Newtek Business Services Corp. • New York
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CLASS A NOTEClass a Note • December 5th, 2014 • Newtek Business Services Corp.
Contract Type FiledDecember 5th, 2014 CompanyTHIS NOTE DOES NOT EVIDENCE AN OBLIGATION OF OR AN INTEREST IN, AND IS NOT GUARANTEED BY, THE ISSUER, THE DEPOSITOR, THE SELLER, THE SERVICER, THE BACK-UP SERVICER, THE INDENTURE TRUSTEE, THE OWNER TRUSTEE, THE ADMINISTRATOR OR ANY AFFILIATE OF ANY OF THEM AND IS NOT INSURED OR GUARANTEED BY ANY GOVERNMENTAL AGENCY OR PRIVATE INSURER.
NEWTEKONE, INC. _____________________________ EMPLOYMENT AGREEMENT WITH M. SCOTT PRICE _____________________________ PREAMBLE. This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 15th day of May 2024 (the “Effective Date”), by and...Employment Agreement • August 9th, 2024 • NewtekOne, Inc. • National commercial banks • New York
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NEWTEK BANK, NATIONAL ASSOCIATION _____________________________ EMPLOYMENT AGREEMENT WITH NICOLAS YOUNG _____________________________ PREAMBLE. This EMPLOYMENT AGREEMENT (this “Agreement”) is entered into effective as of the 5th day of April 2024 (the...Employment Agreement • May 10th, 2024 • NewtekOne, Inc. • National commercial banks • Florida
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GUARANTY (Corporate)Guaranty • December 9th, 2015 • Newtek Business Services Corp. • New York
Contract Type FiledDecember 9th, 2015 Company JurisdictionFOR VALUE RECEIVED, and in consideration of loans made or to be made or credit otherwise extended or to be extended by STERLING NATIONAL BANK (“Sterling”), each of the financial institutions (together with Sterling, collectively, “Lenders”) named in or which hereafter become a party to the Loan Agreement (as hereinafter defined) and Sterling, as agent for Lenders (in such capacity, “Agent”) to or for the account of CDS Business Services, Inc. (“Borrower”) from time to time and at any time and for other good and valuable consideration and to induce Agent and Lenders, in their discretion, to make such loans or extensions of credit and to make or grant such renewals, extensions, releases of collateral or relinquishments of legal rights as Agent and Lenders may deem advisable, the undersigned (and each of them if more than one, the liability under this Guaranty being joint and several) unconditionally guaranties to Agent for its own benefit and for the ratable benefit of Lenders, their suc
TENTH SUPPLEMENTAL INDENTURE between NEWTEK BUSINESS SERVICES CORP. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, AS SUCCESSOR IN INTEREST TO U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of March 31, 2022 THIS TENTH SUPPLEMENTAL INDENTURE...Supplemental Indenture • March 31st, 2022 • Newtek Business Services Corp.
Contract Type FiledMarch 31st, 2022 Company
ContractUnderwriting Agreement • September 10th, 2024 • NewtekOne, Inc. • National commercial banks • New York
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amended and restated LOAN AND SECURITY AGREEMENT by and among Sterling National BANK,Loan and Security Agreement • December 9th, 2015 • Newtek Business Services Corp. • New York
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SECOND AMENDMENT TO STOCK PURCHASE AGREEMENT This SECOND AMENDMENT TO STOCK PURCHASE AGREEMENT (“Amendment”) is dated as of September 13, 2022 (the “Execution Date”), by and between Newtek Business Services Corp., a corporation formed under the laws...Stock Purchase Agreement • November 8th, 2022 • Newtek Business Services Corp.
Contract Type FiledNovember 8th, 2022 Company
THIRD SUPPLEMENTAL INDENTURE between NEWTEKONE, INC. and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of September 16, 2024 THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of September 16, 2024,...Supplemental Indenture • September 16th, 2024 • NewtekOne, Inc. • National commercial banks
Contract Type FiledSeptember 16th, 2024 Company Industry
NEWTEK BUSINESS SERVICES CORP. Employment Agreement with Barry SloaneEmployment Agreement • April 28th, 2017 • Newtek Business Services Corp. • New York
Contract Type FiledApril 28th, 2017 Company JurisdictionPREAMBLE. This Employment Agreement (the “Agreement”) is entered into as of the 15th day of March 2017 (the “Effective Date”), by and between NEWTEK BUSINESS SERVICES CORP. (the “Company”) and BARRY SLOANE (the “Executive”), effective immediately.
FIFTH SUPPLEMENTAL INDENTURE between NEWTEK BUSINESS SERVICES CORP. and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of November 27, 2020 RECITALS OF THE COMPANYSupplemental Indenture • November 27th, 2020 • Newtek Business Services Corp.
Contract Type FiledNovember 27th, 2020 Company
ContractEighth Supplemental Indenture • February 16th, 2021 • Newtek Business Services Corp.
Contract Type FiledFebruary 16th, 2021 Company
Newtek Business Services Corp. First Amendment and Supplement to the Equity Distribution AgreementEquity Distribution Agreement • February 28th, 2020 • Newtek Business Services Corp. • New York
Contract Type FiledFebruary 28th, 2020 Company JurisdictionNewtek Business Services Corp., a Maryland corporation (the “Company”), and Compass Point Research & Trading, LLC, JMP Securities LLC, Keefe, Bruyette & Woods, Inc., Ladenburg Thalmann & Co. Inc., Raymond James & Associates, Inc., and UBS Securities LLC (each a “Placement Agent,” or collectively “Placement Agents”) hereby agree and confirm that this First Amendment and Supplement to the Equity Distribution Agreement (this “First Amendment and Supplement”) amends and supplements the Equity Distribution Agreement, dated as of July 10, 2019, by and among the Company and the Placement Agents (the “Equity Distribution Agreement”), as follows:
OMNIBUS AMENDMENT NO. 4 TO LOAN DOCUMENTS This Omnibus Amendment No. 4 to Loan Documents (this “Amendment”), dated as of May 7, 2020 (the “Fourth Amendment Effective Date”), is entered into by and among NEWTEK SMALL BUSINESS FINANCE, LLC, a New York...Loan Agreement • May 11th, 2020 • Newtek Business Services Corp. • New York
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GUARANTY OF PAYMENT AND PERFORMANCEGuaranty of Payment and Performance • August 31st, 2018 • Newtek Business Services Corp.
Contract Type FiledAugust 31st, 2018 CompanyTHIS GUARANTY OF PAYMENT AND PERFORMANCE (this “Guaranty”) is made as of July 31, 2018 by Newtek Business Services Corp., a Maryland corporation, with its principal executive offices at 1981 Marcus Avenue, Suite 130, Lake Success, New York 11042 (“Guarantor”), in favor of (i) Capital One, National Association, in its capacity as administrative agent (in such capacity, the “Administrative Agent”) for itself and for the Lenders and the other Secured Parties (as such terms are defined in the Credit Agreement identified below), having an address at 299 Park Avenue, New York, New York 10171, and (ii) the Lenders, having addresses set forth in the Credit Agreement.
EXHIBIT A FORM OF ALLONGE ALLONGE This Allonge forms a part of that certain Promissory Note dated in the original principal amount of $ , executed by , and made payable to the order of Newtek Business Lending, LLC, a Florida limited liability company...Loan Agreement • November 12th, 2021 • Newtek Business Services Corp. • Florida
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NEWTEKONE, INC. INVESTOR RIGHTS AGREEMENT This Investor Rights Agreement (the “Agreement”) dated as of February 3, 2023, is by and among NewtekOne, Inc., a Maryland corporation (the “Company”), Patriot Financial Partners IV, L.P., a Delaware limited...Investor Rights Agreement • February 7th, 2023 • NewtekOne, Inc. • National commercial banks
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This Fourth Amended and Restated Loan and Security Agreement is dated as of May 11, 2017 (as the same may be amended, modified, or restated from time to time, this “Agreement”) by and among NEWTEK SMALL BUSINESS FINANCE, LLC, a New York limited...Loan and Security Agreement • May 16th, 2017 • Newtek Business Services Corp. • New York
Contract Type FiledMay 16th, 2017 Company Jurisdiction
EXECUTION VERSION 4866-4344-7334 v.3 FIRST AMENDMENT TO STOCK PURCHASE AGREEMENT This FIRST AMENDMENT TO STOCK PURCHASE AGREEMENT (“Amendment”) is dated as of July 1, 2022 (the “Execution Date”), by and between Newtek Business Services Corp., a...Stock Purchase Agreement • August 8th, 2022 • Newtek Business Services Corp.
Contract Type FiledAugust 8th, 2022 Company
EXECUTION VERSION 739191471 20664933 MASTER REPURCHASE AGREEMENT Dated as of March 18, 2021 by and among NBL SPV II, LLC, as Seller and DEUTSCHE BANK AG, NEW YORK BRANCH, as BuyerMaster Repurchase Agreement • November 12th, 2021 • Newtek Business Services Corp. • New York
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NEWTEKONE, INC. CHANGE IN CONTROL AGREEMENT THIS CHANGE IN CONTROL AGREEMENT (this “Agreement”) is made by and between NEWTEKONE, INC. (the “Company”) and [*] (the “Executive”) (the Company and the Executive are each a “Party” and collectively, the...Change in Control Agreement • April 1st, 2024 • NewtekOne, Inc. • National commercial banks • New York
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2 - 29275947v3 Loan Document, and the due and prompt performance of all of the terms, agreements, covenants and conditions of the Notes, the Loan Agreement and the other Loan Documents; (ii) payment in full of any and all expenses that may be paid or...Guaranty of Payment and Performance • May 16th, 2017 • Newtek Business Services Corp.
Contract Type FiledMay 16th, 2017 Company