BNP Paribas (AU) custody account plans sale of 4,733 shares on 03/03/2026

Rhea-AI Filing Summary

BNP Paribas, New York Branch (custody account) notified an intent to sell 4,733 shares of common stock of AU on 03/03/2026. The filing states the shares arise from an exercise of stock options and a compensation, cashless exercise method.

Insights

Equity Compliance Analyst

Routine Rule 144 resale notice tied to a cashless option exercise.

This entry lists 4,733 shares to be sold on 03/03/2026 following an exercise of stock options and a cashless exercise compensation method. The filing names BNP Paribas, New York Branch (custody/client assets) as the reporting account.

Transaction timing and mechanics are documentary; the filing does not disclose buyer identity, proceeds recipient, or whether sales will be block trades or brokerage transactions. Subsequent public filings or trade reports would show execution details.

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 New York, NY 787 Seventh Avenue New York NY 10019	4733	604735.41	505342765	03/03/2026	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	03/03/2026	Exercise of Stock Options	Issuer			4733	03/03/2026	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 Form 144 filed by BNP Paribas disclose?

The filing discloses an intended sale of 4,733 shares of AU common stock on 03/03/2026, resulting from an exercise of stock options using a cashless exercise method.

Who is the reporting party on the AU Form 144?

The reporting party is listed as BNP Paribas, New York Branch / Custody / Client Assets, located at 787 Seventh Avenue, New York, NY, as shown in the filing excerpt.

Does the filing state how sale proceeds will be used or who receives them?

The excerpt states the sale follows a cashless option exercise as compensation; it does not specify the recipient of proceeds or any use of proceeds in the provided text.

Is the 4,733-share figure the number being sold or outstanding shares?

The filing identifies 4,733 in the "Securities To Be Sold" section dated 03/03/2026, indicating the number intended for sale rather than a shares-outstanding count.

Does the Form 144 indicate the method of sale for AU shares?

The excerpt notes the securities arise from an exercise of stock options and a cashless exercise compensation method; it does not specify the precise sale method (brokered block, open market, or negotiated) in the provided text.