AU (AU) Form 144: Insider resale notice after option exercises

Rhea-AI Filing Summary

AU notice reports proposed sales of common stock via Form 144 tied to prior option exercises. The filing lists proposed transfers dated 03/04/2026 and 06/21/2023 and identifies custodians including BNP Paribas, New York Branch and Fidelity Investments. The method is described as cashless exercise and the seller is indicated as the issuer in the exercise entries.

Insights

Securities Attorney

Form 144 filing records proposed resale of shares following option exercises.

The notice lists proposed sales of common stock connected to option exercises on 03/04/2026 and 06/21/2023

Timing and exact share counts are embedded in custody rows; cash flows are from cashless exercise mechanics. Subsequent transactions will depend on whether the seller completes the resale under Rule 144 conditions.

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	BNP PARIBAS, NEW YORK BRANCH/CUSTODY/CLIENT ASSETS 787 Seventh Avenue New York NY 10019	21066	2701925.16	505492802	03/04/2026	NYSE
Common Stock	Fidelity Investments PO Box 770001 Cincinnati OH 45277	24790	3179565.4	505492802	03/04/2026	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	03/04/2026	Exercise of Stock Options	Issuer			21066	03/04/2026	Compensation, cashless exercise
Common Stock	06/21/2023	Exercise of Stock Options	Issuer			24790	06/21/2023	Compensation, cashless exercise

* 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 disclose about the transaction dates?

The filing lists proposed sale-related entries dated 03/04/2026 and 06/21/2023. These dates correspond to exercises of stock options and the related custody records shown in the notice.

Who are the custodians or brokers named in the AU Form 144?

The notice names custody and brokerage entities including BNP Paribas, New York Branch and Fidelity Investments. These firms appear in the custody/broker rows associated with the common stock entries.

What selling method is indicated in AU's Form 144?

The filing describes the transactions as resulting from exercise of stock options with a cashless exercise method. That indicates shares arose from option exercises rather than open-market purchases.

Does the Form 144 state who receives proceeds from the sales?

The excerpt indicates the entries are tied to the issuer in the exercise rows. The filing does not expressly detail the recipient of sale proceeds beyond those exercise labels in the provided excerpt.