STOCK TITAN

[Form 4] Alset Inc. Insider Trading Activity

Filing Impact
(Low)
Filing Sentiment
(Neutral)
Form Type
4
Rhea-AI Filing Summary

Dillard’s, Inc. (DDS) Form 4 filing dated 07/02/2025 discloses a modest open-market purchase by long-time insider Drue Matheny, Executive Vice President and Director. On 06/30/2025 Matheny acquired 19 Class A common shares at $413.32 each, increasing her direct holding to 403,904 shares. She also continues to hold 36,648 shares through the company retirement plan and 9,821 shares indirectly (7,300 as trustee of the GST Trust and 2,521 held by her spouse). No derivative transactions were reported.

The purchase represents less than 0.005% of her direct ownership and is immaterial to DDS’s 17 million share float, yet any insider buying—particularly by a senior executive—may be interpreted as a confidence signal. There were no sales, option exercises, or 10b5-1 plan indications, and the filing confirms her continuing status as both officer and director.

Dillard’s, Inc. (DDS) ha presentato un modulo Form 4 datato 02/07/2025 che rivela un acquisto modesto sul mercato aperto da parte della veterana insider Drue Matheny, Vicepresidente Esecutivo e Direttrice. Il 30/06/2025 Matheny ha acquisito 19 azioni ordinarie di Classe A a $413,32 ciascuna, portando la sua partecipazione diretta a 403.904 azioni. Continua inoltre a detenere 36.648 azioni tramite il piano pensionistico aziendale e 9.821 azioni indirettamente (7.300 come fiduciaria del GST Trust e 2.521 detenute dal coniuge). Non sono state segnalate transazioni su strumenti derivati.

L'acquisto rappresenta meno dello 0,005% della sua proprietà diretta ed è irrilevante rispetto alle 17 milioni di azioni in circolazione di DDS, ma qualsiasi acquisto da parte di un insider—soprattutto se senior executive—può essere interpretato come un segnale di fiducia. Non sono state effettuate vendite, esercizi di opzioni o indicazioni di piani 10b5-1, e il modulo conferma il suo continuo ruolo sia come dirigente che come direttrice.

Dillard’s, Inc. (DDS) presentó un formulario Form 4 con fecha 02/07/2025 que revela una compra modesta en el mercado abierto por parte de la veterana insider Drue Matheny, Vicepresidenta Ejecutiva y Directora. El 30/06/2025, Matheny adquirió 19 acciones ordinarias Clase A a $413.32 cada una, aumentando su participación directa a 403,904 acciones. También mantiene 36,648 acciones a través del plan de jubilación de la empresa y 9,821 acciones indirectamente (7,300 como fiduciaria del GST Trust y 2,521 en posesión de su cónyuge). No se reportaron transacciones con derivados.

La compra representa menos del 0.005% de su propiedad directa y es insignificante en relación con las 17 millones de acciones en circulación de DDS, pero cualquier compra por parte de un insider—especialmente un ejecutivo senior—puede interpretarse como una señal de confianza. No hubo ventas, ejercicios de opciones ni indicios de planes 10b5-1, y el formulario confirma su estatus continuo como oficial y directora.

Dillard’s, Inc. (DDS)는 2025년 7월 2일자 Form 4 제출서에서 오랜 내부자이자 부사장 겸 이사인 Drue Matheny의 소규모 공개 시장 매수를 공개했습니다. 2025년 6월 30일 Matheny는 주당 $413.32에 클래스 A 보통주 19주를 취득하여 직접 보유 주식을 403,904주로 늘렸습니다. 또한 회사 퇴직연금 플랜을 통해 36,648주를 보유하고 있으며, 간접적으로 9,821주를 보유 중입니다(7,300주는 GST 신탁의 수탁자로서, 2,521주는 배우자 명의). 파생상품 거래는 보고되지 않았습니다.

이번 매수는 그녀의 직접 소유 지분의 0.005% 미만으로 DDS의 1,700만 주 유통 주식에 비해 미미하지만, 특히 고위 임원의 내부자 매수는 신뢰 신호로 해석될 수 있습니다. 매도, 옵션 행사 또는 10b5-1 계획 징후는 없었으며, 제출서류는 그녀가 계속해서 임원 및 이사로서의 지위를 유지하고 있음을 확인합니다.

Dillard’s, Inc. (DDS) a déposé un formulaire Form 4 daté du 02/07/2025 révélant un achat modeste sur le marché libre par l’initiée de longue date Drue Matheny, vice-présidente exécutive et administratrice. Le 30/06/2025, Matheny a acquis 19 actions ordinaires de Classe A à 413,32 $ chacune, portant sa détention directe à 403 904 actions. Elle détient également 36 648 actions via le plan de retraite de l’entreprise ainsi que 9 821 actions indirectement (7 300 en tant que fiduciaire du GST Trust et 2 521 détenues par son conjoint). Aucune transaction sur dérivés n’a été signalée.

L’achat représente moins de 0,005 % de sa détention directe et est négligeable par rapport aux 17 millions d’actions en circulation de DDS, mais tout achat par un initié — surtout un cadre supérieur — peut être interprété comme un signe de confiance. Il n’y a eu ni ventes, ni exercices d’options, ni indications de plans 10b5-1, et le dépôt confirme son statut continu d’officier et d’administratrice.

Dillard’s, Inc. (DDS) reichte am 02.07.2025 ein Formular Form 4 ein, das einen bescheidenen Kauf am offenen Markt durch die langjährige Insiderin Drue Matheny, Executive Vice President und Direktorin, offenlegt. Am 30.06.2025 erwarb Matheny 19 Class A Stammaktien zu je 413,32 $, wodurch ihr Direktbestand auf 403.904 Aktien anstieg. Zudem hält sie weiterhin 36.648 Aktien über den betrieblichen Altersvorsorgeplan sowie 9.821 Aktien indirekt (7.300 als Treuhänderin des GST Trust und 2.521 im Besitz ihres Ehepartners). Es wurden keine Derivatgeschäfte gemeldet.

Der Kauf macht weniger als 0,005 % ihres Direktbesitzes aus und ist im Vergleich zu den 17 Millionen umlaufenden DDS-Aktien unerheblich, doch jeglicher Insiderkauf – insbesondere durch eine Führungskraft – kann als Vertrauenssignal gewertet werden. Es gab keine Verkäufe, Optionsausübungen oder Hinweise auf 10b5-1-Pläne, und die Einreichung bestätigt ihren fortlaufenden Status als leitende Angestellte und Direktorin.

Positive
  • Open-market insider purchase signals potential management confidence in DDS shares.
  • Executive retains a large equity stake (>400k shares), aligning interests with shareholders.
Negative
  • Purchase size is immaterial (~$7.9k), limiting informational value.
  • No additional context on strategic initiatives or financial performance accompanies the filing.

Insights

TL;DR: Tiny insider buy; sentimentally positive but financially immaterial.

The 19-share purchase (~$7.9k) is negligible versus Matheny’s >400k direct shares and DDS’s $7 bn market cap. However, the direction of trade is noteworthy: insiders at DDS have historically been net sellers, so any purchase—however small—may bolster market perception of management confidence amid volatile retail conditions. With no concurrent option grants or planned sales, the filing has symbolic but limited valuation impact.

TL;DR: Governance-neutral; reaffirms insider alignment through continued equity stake.

Matheny already holds a substantial 2.4% insider stake; the incremental purchase aligns incentives but does not materially alter ownership structure. Absence of 10b5-1 designation suggests discretionary buying, which markets often view more favorably. No red flags arise, and the filing maintains transparency requirements.

Dillard’s, Inc. (DDS) ha presentato un modulo Form 4 datato 02/07/2025 che rivela un acquisto modesto sul mercato aperto da parte della veterana insider Drue Matheny, Vicepresidente Esecutivo e Direttrice. Il 30/06/2025 Matheny ha acquisito 19 azioni ordinarie di Classe A a $413,32 ciascuna, portando la sua partecipazione diretta a 403.904 azioni. Continua inoltre a detenere 36.648 azioni tramite il piano pensionistico aziendale e 9.821 azioni indirettamente (7.300 come fiduciaria del GST Trust e 2.521 detenute dal coniuge). Non sono state segnalate transazioni su strumenti derivati.

L'acquisto rappresenta meno dello 0,005% della sua proprietà diretta ed è irrilevante rispetto alle 17 milioni di azioni in circolazione di DDS, ma qualsiasi acquisto da parte di un insider—soprattutto se senior executive—può essere interpretato come un segnale di fiducia. Non sono state effettuate vendite, esercizi di opzioni o indicazioni di piani 10b5-1, e il modulo conferma il suo continuo ruolo sia come dirigente che come direttrice.

Dillard’s, Inc. (DDS) presentó un formulario Form 4 con fecha 02/07/2025 que revela una compra modesta en el mercado abierto por parte de la veterana insider Drue Matheny, Vicepresidenta Ejecutiva y Directora. El 30/06/2025, Matheny adquirió 19 acciones ordinarias Clase A a $413.32 cada una, aumentando su participación directa a 403,904 acciones. También mantiene 36,648 acciones a través del plan de jubilación de la empresa y 9,821 acciones indirectamente (7,300 como fiduciaria del GST Trust y 2,521 en posesión de su cónyuge). No se reportaron transacciones con derivados.

La compra representa menos del 0.005% de su propiedad directa y es insignificante en relación con las 17 millones de acciones en circulación de DDS, pero cualquier compra por parte de un insider—especialmente un ejecutivo senior—puede interpretarse como una señal de confianza. No hubo ventas, ejercicios de opciones ni indicios de planes 10b5-1, y el formulario confirma su estatus continuo como oficial y directora.

Dillard’s, Inc. (DDS)는 2025년 7월 2일자 Form 4 제출서에서 오랜 내부자이자 부사장 겸 이사인 Drue Matheny의 소규모 공개 시장 매수를 공개했습니다. 2025년 6월 30일 Matheny는 주당 $413.32에 클래스 A 보통주 19주를 취득하여 직접 보유 주식을 403,904주로 늘렸습니다. 또한 회사 퇴직연금 플랜을 통해 36,648주를 보유하고 있으며, 간접적으로 9,821주를 보유 중입니다(7,300주는 GST 신탁의 수탁자로서, 2,521주는 배우자 명의). 파생상품 거래는 보고되지 않았습니다.

이번 매수는 그녀의 직접 소유 지분의 0.005% 미만으로 DDS의 1,700만 주 유통 주식에 비해 미미하지만, 특히 고위 임원의 내부자 매수는 신뢰 신호로 해석될 수 있습니다. 매도, 옵션 행사 또는 10b5-1 계획 징후는 없었으며, 제출서류는 그녀가 계속해서 임원 및 이사로서의 지위를 유지하고 있음을 확인합니다.

Dillard’s, Inc. (DDS) a déposé un formulaire Form 4 daté du 02/07/2025 révélant un achat modeste sur le marché libre par l’initiée de longue date Drue Matheny, vice-présidente exécutive et administratrice. Le 30/06/2025, Matheny a acquis 19 actions ordinaires de Classe A à 413,32 $ chacune, portant sa détention directe à 403 904 actions. Elle détient également 36 648 actions via le plan de retraite de l’entreprise ainsi que 9 821 actions indirectement (7 300 en tant que fiduciaire du GST Trust et 2 521 détenues par son conjoint). Aucune transaction sur dérivés n’a été signalée.

L’achat représente moins de 0,005 % de sa détention directe et est négligeable par rapport aux 17 millions d’actions en circulation de DDS, mais tout achat par un initié — surtout un cadre supérieur — peut être interprété comme un signe de confiance. Il n’y a eu ni ventes, ni exercices d’options, ni indications de plans 10b5-1, et le dépôt confirme son statut continu d’officier et d’administratrice.

Dillard’s, Inc. (DDS) reichte am 02.07.2025 ein Formular Form 4 ein, das einen bescheidenen Kauf am offenen Markt durch die langjährige Insiderin Drue Matheny, Executive Vice President und Direktorin, offenlegt. Am 30.06.2025 erwarb Matheny 19 Class A Stammaktien zu je 413,32 $, wodurch ihr Direktbestand auf 403.904 Aktien anstieg. Zudem hält sie weiterhin 36.648 Aktien über den betrieblichen Altersvorsorgeplan sowie 9.821 Aktien indirekt (7.300 als Treuhänderin des GST Trust und 2.521 im Besitz ihres Ehepartners). Es wurden keine Derivatgeschäfte gemeldet.

Der Kauf macht weniger als 0,005 % ihres Direktbesitzes aus und ist im Vergleich zu den 17 Millionen umlaufenden DDS-Aktien unerheblich, doch jeglicher Insiderkauf – insbesondere durch eine Führungskraft – kann als Vertrauenssignal gewertet werden. Es gab keine Verkäufe, Optionsausübungen oder Hinweise auf 10b5-1-Pläne, und die Einreichung bestätigt ihren fortlaufenden Status als leitende Angestellte und Direktorin.

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Chan Heng Fai Ambrose

(Last) (First) (Middle)
9 TEMASEK BOULEVARD #16-4
SUNTEC TOWER TWO

(Street)
SINGAPORE U0 038989

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Alset Inc. [ AEI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
06/30/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/30/2025 A 280,000 A (1) 4,123,236(2) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. On June 30, 2025, Mr. Chan acquired 280,000 shares of the Issuer's common stock at a weighted average purchase price of $1.20 per share. This transaction was executed in multiple trades at prices ranging from $0.984 to $1.30. The reporting person hereby undertakes to provide, upon request of the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.
2. In addition to the shares of common stock held directly by Mr. Chan, Mr. Chan also indirectly owns 3,875,506 shares of common stock held by HFE Holdings Limited. Mr. Chan has sole voting and investment power with respect to the shares held by HFE Holdings Limited. Mr. Chan is the beneficial owner of 7,998,742 shares of the common stock of Alset Inc.
/s/ Chan Heng Fai Ambrose 07/02/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

How many Dillard’s (DDS) shares did Drue Matheny buy?

19 Class A shares purchased on 06/30/2025 at $413.32 each.

What is Matheny’s total direct ownership after this transaction?

She now directly owns 403,904 DDS shares.

Were any shares sold or derivatives exercised in this Form 4?

No. The filing reports only an acquisition; no sales or option exercises occurred.

Does the filing indicate a 10b5-1 trading plan?

No. The transaction is not marked as pursuant to Rule 10b5-1(c).

How many DDS shares does Matheny hold indirectly?

She controls 9,821 indirect shares: 7,300 via GST Trust and 2,521 through her spouse.
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