Fidelity Lists Proposed AU (NYSE: AU) Common Stock Sales — Form 144

Rhea-AI Filing Summary

AU submitted a Form 144 notice recording proposed sales of Common Stock by Fidelity Investments. The filing lists an open-market purchase record of 1,000 shares dated 02/23/2021 and 400 shares dated 05/18/2021. The notice is associated with the NYSE and is presented as a routine affiliate resale filing.

Insights

Securities Compliance Analyst

Form 144 records proposed affiliate resale activity without indicating completion.

Form 144 is a regulatory notice that an affiliate or control person intends to sell securities under exemption rules. The excerpt shows two open-market entries dated 02/23/2021 and 05/18/2021 with 1,000 and 400 shares respectively.

These filings are administrative disclosures; they do not confirm settlement or timing. Subsequent transaction reports or broker confirmations would be needed to verify whether the sales were completed.

Key Figures

Form type: Form 144 Shares listed — 02/23/2021: 1,000 shares Shares listed — 05/18/2021: 400 shares +2 more

5 metrics

Form type Form 144 resale notice for affiliates

Shares listed — 02/23/2021 1,000 shares open-market entry dated <date>02/23/2021</date>

Shares listed — 05/18/2021 400 shares open-market entry dated <date>05/18/2021</date>

Filing association NYSE exchange listed in excerpt

Filing date (document) 05/15/2026 date appearing in the excerpt header

Key Terms

Form 144, Open market purchase, Selling securities

3 terms

Form 144 regulatory

"Form 144 notice recording proposed sales of Common Stock"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Open market purchase market

"Open market purchase | Open Market | 1,000 | 02/23/2021"

An open market purchase is when a company buys its own shares on public stock exchanges the same way any investor would, rather than through a private deal. Investors care because these purchases reduce the number of shares available, can boost earnings per share and share price, signal that management thinks the stock is undervalued, and use company cash that might otherwise go to reinvestment or dividends — like a business quietly buying back its own tickets at the box office.

Selling securities regulatory

"144: Securities To Be Sold | Common Stock | 02/23/2021"

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	Fidelity Investments PO Box 770001 Cincinnati OH 45277	1400	146062	505637486	05/15/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	02/23/2021	Open market purchase	Open Market			1000	02/23/2021	Cash
Common Stock	05/18/2021	Open market purchase	Open Market			400	05/18/2021	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does AU's Form 144 filing mean?

It notifies a proposed resale of AU common stock by an affiliate. The form lists specific sale dates and share counts, serving as a regulatory disclosure under resale exemptions and does not itself confirm whether the sales were executed or settled.

Who is listed as the selling party in the AU Form 144?

The filing lists Fidelity Investments as the reporting party for AU common stock. It provides open‑market entries tied to Fidelity with listed share amounts and dates, indicating the affiliate role in the proposed resale activity.

How many AU shares are shown on the Form 144 excerpt?

The excerpt shows two entries totaling 1,400 shares across two dates: 02/23/2021 for 1,000 shares and 05/18/2021 for 400 shares. The form lists proposed resale quantities, not settlement status.

Does the Form 144 confirm AU share sales were completed?

No, Form 144 is a notice of proposed sale and does not confirm completion. Execution, settlement, or post‑sale reporting would appear in other transaction records or broker reports if sales occurred.