401k Plan data: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN plan

NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 401k Plan overview

Plan Name	NEWTEK, INC 401(K) AND PROFIT SHARING PLAN
Plan identification number	001

NEWTEK, INC 401(K) AND PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

NEWTEK, INC. has sponsored the creation of one or more 401k plans.

Company Name: NEWTEK, INC.

Employer identification number (EIN): 481022237

NAIC Classification: 334310
NAIC Description: Audio and Video Equipment Manufacturing

Additional information about NEWTEK, INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2007-12-05

Company Identification Number: 0800906589

Legal Registered Office Address: 5131 BECKWITH BLVD

SAN ANTONIO
United States of America (USA)
78249

More information about NEWTEK, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NEWTEK, INC 401(K) AND PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01
001 2017-01-01 MARK EDWARD AGUIRRE STEPHEN DOUBLEDAY 2018-10-09
001 2016-01-01 MARK AGUIRRE STEVE DOUBLEDAY 2017-09-26
001 2015-01-01 MARK AGUIRRE STEPHEN DOUBLEDAY 2016-10-11
001 2014-01-01 MARK AGUIRRE STEPHEN DOUBLEDAY 2015-10-07
001 2013-01-01 MARK AGUIRRE STEPHEN J DOUBLEDAY 2014-10-15
001 2012-01-01 MARK AGUIRRE 2013-07-24 STEPHEN DOUBLEDAY 2013-07-24
001 2011-01-01 MARK AGUIRRE 2012-07-25 STEPHEN DOUBLEDAY 2012-07-11
001 2010-01-01 MARK AGUIRRE 2011-07-06 STEPHEN DOUBLEDAY 2011-07-08

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01
001	2017-01-01	MARK EDWARD AGUIRRE		STEPHEN DOUBLEDAY	2018-10-09
001	2016-01-01	MARK AGUIRRE		STEVE DOUBLEDAY	2017-09-26
001	2015-01-01	MARK AGUIRRE		STEPHEN DOUBLEDAY	2016-10-11
001	2014-01-01	MARK AGUIRRE		STEPHEN DOUBLEDAY	2015-10-07
001	2013-01-01	MARK AGUIRRE		STEPHEN J DOUBLEDAY	2014-10-15
001	2012-01-01	MARK AGUIRRE	2013-07-24	STEPHEN DOUBLEDAY	2013-07-24
001	2011-01-01	MARK AGUIRRE	2012-07-25	STEPHEN DOUBLEDAY	2012-07-11
001	2010-01-01	MARK AGUIRRE	2011-07-06	STEPHEN DOUBLEDAY	2011-07-08

Plan Statistics for NEWTEK, INC 401(K) AND PROFIT SHARING PLAN

401k plan membership statisitcs for NEWTEK, INC 401(K) AND PROFIT SHARING PLAN

Measure Date Value
2018: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 144
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 112
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 30
Total of all active and inactive participants 2018-01-01 142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 142
Number of participants with account balances 2018-01-01 115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 1
2017: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 149
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 115
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 29
Total of all active and inactive participants 2017-01-01 144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 144
Number of participants with account balances 2017-01-01 118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 154
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 117
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 30
Total of all active and inactive participants 2016-01-01 147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 147
Number of participants with account balances 2016-01-01 122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 5
2015: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 163
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 125
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 28
Total of all active and inactive participants 2015-01-01 153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 153
Number of participants with account balances 2015-01-01 128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 4
2014: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 163
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 134
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 28
Total of all active and inactive participants 2014-01-01 162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 162
Number of participants with account balances 2014-01-01 128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 6
2013: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 130
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 138
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 23
Total of all active and inactive participants 2013-01-01 161
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 161
Number of participants with account balances 2013-01-01 117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 3

Measure	Date	Value
2018: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	144
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	112
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	30
Total of all active and inactive participants	2018-01-01	142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	142
Number of participants with account balances	2018-01-01	115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	1
2017: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	149
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	115
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	29
Total of all active and inactive participants	2017-01-01	144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	144
Number of participants with account balances	2017-01-01	118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	154
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	117
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	30
Total of all active and inactive participants	2016-01-01	147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	147
Number of participants with account balances	2016-01-01	122
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	5
2015: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	163
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	125
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	28
Total of all active and inactive participants	2015-01-01	153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	153
Number of participants with account balances	2015-01-01	128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	4
2014: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	163
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	134
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	28
Total of all active and inactive participants	2014-01-01	162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	162
Number of participants with account balances	2014-01-01	128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	6
2013: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	130
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	138
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	23
Total of all active and inactive participants	2013-01-01	161
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	161
Number of participants with account balances	2013-01-01	117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	3

Financial Data on NEWTEK, INC 401(K) AND PROFIT SHARING PLAN

Measure	Date	Value
2018 : NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$313,645
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$552,822
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$544,867
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$801,589
Value of total assets at end of year	2018-12-31	$10,482,009
Value of total assets at beginning of year	2018-12-31	$10,721,186
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$7,955
Total interest from all sources	2018-12-31	$14,475
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$115,423
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$115,423
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$606,498
Participant contributions at end of year	2018-12-31	$273,960
Participant contributions at beginning of year	2018-12-31	$220,824
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-239,177
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$10,482,009
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$10,721,186
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$8,848,907
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$9,243,781
Interest on participant loans	2018-12-31	$14,475
Income. Interest from loans (other than to participants)	2018-12-31	$0
Value of interest in common/collective trusts at end of year	2018-12-31	$1,359,038
Value of interest in common/collective trusts at beginning of year	2018-12-31	$1,256,581
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-644,177
Net investment gain or loss from common/collective trusts	2018-12-31	$26,335
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$195,091
Employer contributions (assets) at end of year	2018-12-31	$104
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$544,867
Contract administrator fees	2018-12-31	$7,955
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	WEAVER
Accountancy firm EIN	2018-12-31	750786316
2017 : NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$2,282,834
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$359,506
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$351,056
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$807,382
Value of total assets at end of year	2017-12-31	$10,721,186
Value of total assets at beginning of year	2017-12-31	$8,797,858
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$8,450
Total interest from all sources	2017-12-31	$12,641
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$114,561
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$114,561
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$605,750
Participant contributions at end of year	2017-12-31	$220,824
Participant contributions at beginning of year	2017-12-31	$227,466
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$14,486
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,923,328
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$10,721,186
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$8,797,858
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$9,243,781
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$7,273,960
Interest on participant loans	2017-12-31	$12,641
Value of interest in common/collective trusts at end of year	2017-12-31	$1,256,581
Value of interest in common/collective trusts at beginning of year	2017-12-31	$1,277,268
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$1,331,290
Net investment gain or loss from common/collective trusts	2017-12-31	$16,960
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$201,632
Employer contributions (assets) at end of year	2017-12-31	$0
Employer contributions (assets) at beginning of year	2017-12-31	$4,678
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$351,056
Contract administrator fees	2017-12-31	$8,450
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	WEAVER
Accountancy firm EIN	2017-12-31	750786316
2016 : NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,453,354
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$208,540
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$181,094
Value of total corrective distributions	2016-12-31	$19,026
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$794,620
Value of total assets at end of year	2016-12-31	$8,797,858
Value of total assets at beginning of year	2016-12-31	$7,553,044
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$8,420
Total interest from all sources	2016-12-31	$14,287
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$102,003
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$102,003
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$590,076
Participant contributions at end of year	2016-12-31	$227,466
Participant contributions at beginning of year	2016-12-31	$255,676
Participant contributions at end of year	2016-12-31	$14,486
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$1,244,814
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$8,797,858
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$7,553,044
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$7,273,960
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$6,451,700
Interest on participant loans	2016-12-31	$14,287
Income. Interest from loans (other than to participants)	2016-12-31	$0
Value of interest in common/collective trusts at end of year	2016-12-31	$1,277,268
Value of interest in common/collective trusts at beginning of year	2016-12-31	$845,668
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$530,326
Net investment gain or loss from common/collective trusts	2016-12-31	$12,118
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$204,544
Employer contributions (assets) at end of year	2016-12-31	$4,678
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$181,094
Contract administrator fees	2016-12-31	$8,420
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	WEAVER
Accountancy firm EIN	2016-12-31	750786316
2015 : NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$1,068,772
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$475,385
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$436,024
Value of total corrective distributions	2015-12-31	$30,171
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,088,086
Value of total assets at end of year	2015-12-31	$7,553,044
Value of total assets at beginning of year	2015-12-31	$6,959,657
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$9,190
Total interest from all sources	2015-12-31	$16,592
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$89,417
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$89,417
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$700,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$685,624
Participant contributions at end of year	2015-12-31	$255,676
Participant contributions at beginning of year	2015-12-31	$233,476
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$181,592
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$593,387
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$7,553,044
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$6,959,657
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$6,451,700
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$5,756,675
Interest on participant loans	2015-12-31	$16,592
Income. Interest from loans (other than to participants)	2015-12-31	$0
Value of interest in common/collective trusts at end of year	2015-12-31	$845,668
Value of interest in common/collective trusts at beginning of year	2015-12-31	$969,506
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-135,894
Net investment gain or loss from common/collective trusts	2015-12-31	$10,571
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$220,870
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$436,024
Contract administrator fees	2015-12-31	$9,190
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	WEAVER
Accountancy firm EIN	2015-12-31	750786316
2014 : NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$1,178,896
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$118,314
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$91,612
Value of total corrective distributions	2014-12-31	$18,177
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$879,409
Value of total assets at end of year	2014-12-31	$6,959,657
Value of total assets at beginning of year	2014-12-31	$5,899,075
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$8,525
Total interest from all sources	2014-12-31	$16,521
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$81,945
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$81,945
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$673,149
Participant contributions at end of year	2014-12-31	$233,476
Participant contributions at beginning of year	2014-12-31	$177,512
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,060,582
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$6,959,657
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$5,899,075
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$5,756,675
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$4,835,323
Interest on participant loans	2014-12-31	$16,521
Value of interest in common/collective trusts at end of year	2014-12-31	$969,506
Value of interest in common/collective trusts at beginning of year	2014-12-31	$886,240
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$192,809
Net investment gain or loss from common/collective trusts	2014-12-31	$8,212
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$206,260
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$91,612
Contract administrator fees	2014-12-31	$8,525
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	WEAVER
Accountancy firm EIN	2014-12-31	750786316
2013 : NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$1,623,486
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$125,265
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$100,693
Value of total corrective distributions	2013-12-31	$16,652
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$791,536
Value of total assets at end of year	2013-12-31	$5,899,075
Value of total assets at beginning of year	2013-12-31	$4,400,854
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$7,920
Total interest from all sources	2013-12-31	$11,720
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$69,730
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$69,730
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$609,768
Participant contributions at end of year	2013-12-31	$177,512
Participant contributions at beginning of year	2013-12-31	$92,244
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,159
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$1,498,221
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$5,899,075
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$4,400,854
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$4,835,323
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$3,579,491
Interest on participant loans	2013-12-31	$11,720
Value of interest in common/collective trusts at end of year	2013-12-31	$886,240
Value of interest in common/collective trusts at beginning of year	2013-12-31	$718,450
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$10,669
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$10,669
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$743,695
Net investment gain or loss from common/collective trusts	2013-12-31	$6,805
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$180,609
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$100,693
Contract administrator fees	2013-12-31	$7,920
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	WEAVER
Accountancy firm EIN	2013-12-31	750786316

Form 5500 Responses for NEWTEK, INC 401(K) AND PROFIT SHARING PLAN

2018: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: NEWTEK, INC 401(K) AND PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	NEWTEK, INC.
Employer identification number (EIN):	481022237
NAIC Classification:	334310
NAIC Description:	Audio and Video Equipment Manufacturing

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2007-12-05
Company Identification Number:	0800906589
Legal Registered Office Address:	5131 BECKWITH BLVD SAN ANTONIO United States of America (USA) 78249