0000909012-15-000113.txt : 20150213 0000909012-15-000113.hdr.sgml : 20150213 20150213151332 ACCESSION NUMBER: 0000909012-15-000113 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150213 DATE AS OF CHANGE: 20150213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEWTEK BUSINESS SERVICES, INC. CENTRAL INDEX KEY: 0001094019 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 113504638 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59647 FILM NUMBER: 15613339 BUSINESS ADDRESS: STREET 1: 212 WEST 35TH STREET STREET 2: SECOND FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 BUSINESS PHONE: (212) 356-9500 MAIL ADDRESS: STREET 1: 212 WEST 35TH STREET STREET 2: SECOND FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 FORMER COMPANY: FORMER CONFORMED NAME: NEWTEK BUSINESS SERVICES INC DATE OF NAME CHANGE: 20021126 FORMER COMPANY: FORMER CONFORMED NAME: NEWTEK CAPITAL INC DATE OF NAME CHANGE: 20000229 FORMER COMPANY: FORMER CONFORMED NAME: TWG INC DATE OF NAME CHANGE: 19991213 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RUBIN JEFFREY CENTRAL INDEX KEY: 0001057289 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 111 DEER RUN CITY: ROSLYN STATE: NY ZIP: 11577 SC 13G/A 1 t307611.txt NBSC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.1)* NEWTEK BUSINESS SERVICES, CORP. ------------------------------------ (Name of Issuer) COMMON STOCK, $0.02 PAR VALUE ------------------------------------ (Title of Class of Securities) 652526203 -------------------- (CUSIP Number) December 31, 2014 ------------------------------------------------------------- (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 -------------------------------------------------------------------------------- 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) [_] N/A -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 853,301 shares NUMBER OF ----------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 31,891 shares EACH ----------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 853,301 shares ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 31,891 shares -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 885,192 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 8.6% -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------------- PAGE 2 OF 4 PAGES Item 1(a) Name of Issuer: Newtek Business Services, Corp. Item 1(b) Address of Issuer's Principal Executive Offices: 212 West 35th Street, 2nd Floor New York, NY 10001 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, $.02 par value Item 2(e) CUSIP Number: 652526203 Item 3 If the Statement is being filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: Item 4 Ownership: (a) Amount Beneficially Owned: 885,192 shares of common stock, par value $.02, with 853,301 shares held personally, and 31,891 held by the J. Rubin Family Foundation of which Jeffrey G. Rubin is a trustee, for which Jeffrey G. Rubin disclaims beneficial ownership. (b) Percent of Class: 8.6% PAGE 3 OF 4 PAGES (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: 853,301 (ii) shared power to vote or direct the vote: 31,891 (iii) sole power to dispose or to direct the disposition of: 853,301 (iv) shared power to dispose or to direct the disposition of: 31,891 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 [ ]. 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 12, 2015 By: /S/ Jeffrey G. Rubin ------------------------------------- Name: Jeffrey G. Rubin PAGE 4 OF 4 PAGES