Company:  NEWTEK BUSINESS SERVICES ... (NEWT)
Form Type:  497
Filing Date:  2/16/2018 
CIK:  0001587987 
Address:  1981 MARCUS AVENUE
SUITE 130
 
City, State, Zip:  LAKE SUCCESS, New York 11042 
Telephone:  212-356-9500 
Fiscal Year:  12/31 
Last Trade
Last Trade: 
$23.00  
Change: 
-0.31 (-1.33%)  
Trade Time: 
02:17 PM EST  
Market Cap: 
$440.73M
Trade NEWT now with

© 2019  
Description of Business
We are an internally managed non-diversified closed-end management investment company that has elected to be regulated as a BDC under the 1940 Act. Additionally, we have elected to be treated as a RIC under the Code for U.S. federal income tax purposes, beginning with our 2015 tax year. Our investment activities are managed by our executive officers and supervised by our Board. -------------------------------------------------------------------------------- As a BDC, our investment objective is to generate both current income and capital appreciation primarily through loans originated by our business finance platform and our equity investments in certain portfolio companies that we control. Our Business We are an internally managed BDC that is a leading national non-bank lender that provides, together with our controlled portfolio companies, a wide range of business and financial solutions under the Newtek® brand to the SMB market.
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  FORM 497
    FINANCIAL HIGHLIGHTS TABLE
    Summary Risk Factors
    RISK FACTORS
    RISKS RELATING TO OUR INVESTMENTS GENERALLY
    MANAGEMENT'S DISCUSSION AND ANALYSIS OF
    Expenses
    Expenses
    AVAILABLE INFORMATION
      ASSETS AND LIABILITIES
      STATEMENT OF OPERATIONS
      STATEMENT OF CHANGES IN NET ASSETS
      PORTFOLIO OF INVESTMENTS
      PORTFOLIO OF INVESTMENTS
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      NOTES TO CONDENSED CONSOLIDATED FINANCIAL STATEMENTS
    Expenses Incurred from Controlled Portfolio Companies
      STATEMENT OF OPERATIONS
    NOTE 9 - FINANCIAL HIGHLIGHTS:
      FINANCIAL HIGHLIGHTS TABLE
    NOTE 13 - DIVIDENDS AND DISTRIBUTIONS:
      BALANCE SHEET
      PORTFOLIO OF INVESTMENTS
      FINANCIAL HIGHLIGHTS TABLE
    Summary Risk Factors
    FEES AND EXPENSES
      SHAREHOLDER FEES
      FINANCIAL HIGHLIGHTS TABLE
    FINANCIAL HIGHLIGHTS
      FINANCIAL HIGHLIGHTS TABLE
    RISK FACTORS
    RISKS RELATING TO OUR INVESTMENTS GENERALLY
    MANAGEMENT'S DISCUSSION AND ANALYSIS OF
    Expenses
    Expenses
    Investment Objectives
      PORTFOLIO OF INVESTMENTS
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    MANAGEMENT
    Directors and Executive Officers
      NAME AND TITLE
    Executive Officers Who Are Not Directors
      NAME AND TITLE
    Executive Officers Who Are Not Directors
    The Board of Directors and Board of Directors Meetings
    Committees of the Board of Directors
    Code of Ethics
    Section 16(a) of the Exchange Act requires our directors and ...
      COMPENSATION TABLE
      NAME AND TITLE
    Compensation Philosophy and Objectives
      COMPENSATION TABLE
    SALES OF COMMON STOCK BELOW NET ASSET VALUE
    SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
      BENEFICIAL OWNERS
    Dollar Range of Equity Securities in the Company ...
      TRUSTEE OWNERSHIP
    Issuance of Shares Below Current Net Asset Value
    DETERMINATION OF NET ASSET VALUE
      BENEFICIAL OWNERS
    Classified Board of Directors
    AVAILABLE INFORMATION
      Report of Independent Registered Public Accounting Firm
      Report of Independent Registered Public Accounting Firm on
      ASSETS AND LIABILITIES
      STATEMENT OF OPERATIONS
      STATEMENT OF OPERATIONS
      STOCKHOLDERS EQUITY
      STATEMENT OF CHANGES IN NET ASSETS
      CASH FLOW
      PORTFOLIO OF INVESTMENTS
      PORTFOLIO OF INVESTMENTS
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      ASSETS AND LIABILITIES
    NOTE 12 - DIVIDENDS AND DISTRIBUTIONS:
    NOTE 15 - FINANCIAL HIGHLIGHTS:
      FINANCIAL HIGHLIGHTS TABLE
      STATEMENT OF OPERATIONS
      PORTFOLIO OF INVESTMENTS
      INDEPENDENT AUDITOR'S REPORT
    Management's Responsibility for the Financial Statements
      BALANCE SHEET
      INCOME STATEMENT
      STOCKHOLDERS EQUITY
      CASH FLOW
      Independent Auditor's Report
    Management's Responsibility for the Financial Statements
      BALANCE SHEET
      INCOME STATEMENT
      STOCKHOLDERS EQUITY
      CASH FLOW
      BALANCE SHEET
      STATEMENT OF OPERATIONS
      STOCKHOLDERS EQUITY
      CASH FLOW
      ASSETS AND LIABILITIES
      STATEMENT OF OPERATIONS
      STATEMENT OF CHANGES IN NET ASSETS
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    Expenses Incurred from Controlled Portfolio Companies
    NOTE 9 - FINANCIAL HIGHLIGHTS:
      FINANCIAL HIGHLIGHTS TABLE
    NOTE 13 - DIVIDENDS AND DISTRIBUTIONS:
      BALANCE SHEET
      PORTFOLIO OF INVESTMENTS