Form 10-Q Amendment No. 1
Table of Contents

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 10-Q/A

(Amendment No. 1)

 

 

(Mark One)

x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the quarterly period ended September 30, 2013

OR

 

¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from                      to                     

Commission File Number: 001-16123

 

 

NEWTEK BUSINESS SERVICES, INC.

(Exact name of registrant as specified in its charter)

 

 

 

New York   11-3504638

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)

212 West 35th Street, 2nd Floor, New York, NY   10001
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (212) 356-9500

 

 

Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the past 12 months (or for such shorter period that the registrant was required to file such reports) and (2) has been subject to such filing requirements for the past 90 days.    Yes  x    No  ¨

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate website, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (Section 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes  x    No  ¨

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company (as defined in Rule 12b-2 of the Exchange Act).

 

Large accelerated filer   ¨    Accelerated filer   ¨
Non-accelerated filer   ¨    Smaller reporting company   x

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes  ¨    No  x

As of December 5, 2013, there were 35,385,888 of the Company’s Common Shares outstanding.

 

 

 


Table of Contents

CONTENTS

 

PART II - OTHER INFORMATION

  

Item 6. Exhibits

     3   

Signatures

     4   

 

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Table of Contents

PART II - OTHER INFORMATION

Item 6. Exhibits

 

Exhibit
No.

  

Description

32.1    Certification by Principal Executive and Principal Financial Officers pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.(amended)

 

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SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

    NEWTEK BUSINESS SERVICES, INC.
Date: December 6, 2013     By:  

/s/ Barry Sloane

        Barry Sloane
       

Chairman of the Board, Chief Executive Officer

and Secretary

        (Principal Executive Officer)
Date: December 6, 2013     By:  

/s/ Jennifer Eddelson

        Jennifer Eddelson
        Chief Accounting Officer
        (Principal Financial Officer and Principal Accounting Officer)

 

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