AU (NYSE: AU) insider cashless option exercise; prior 19,148-share sale

Rhea-AI Filing Summary

AU reported a proposed sale of common stock via a Form 144 notice tied to a cashless exercise of stock options dated 02/27/2026. The filing lists the transaction as an issuer-related exercise and notes prior sales of 19,148 shares on 12/03/2025 by Marcelo Cheuiche Godoy.

Insights

Corporate Governance Analyst

Form 144 shows an insider-linked cashless option exercise and a recent sale by an associated party.

The filing records a cashless exercise of stock options on 02/27/2026, described as an issuer transaction. It also lists a prior sale of 19,148 common shares on 12/03/2025 by Marcelo Cheuiche Godoy.

Timing and size are limited to the disclosed dates; subsequent filings may report actual transfers or proceeds. Cash‑flow treatment is described as compensation, cashless exercise in the excerpt.

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	9526	1185987	505265898	02/27/2026	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	02/27/2026	Exercise of Stock Options	Issuer			9526	02/27/2026	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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Marcelo Cheuiche Godoy 6363 S. Fiddlers Green Circle Suite 1000, Greenwood Village Denver CO 80111	Common Stock	12/03/2025	19148	1606431

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 dated 02/27/2026 report?

The Form 144 reports a proposed sale tied to a cashless exercise of stock options with a transaction date of 02/27/2026. The filing lists the method as compensation, cashless exercise and identifies the security as common stock.

Who is named in AU's filing and what prior sale is shown?

The filing names Marcelo Cheuiche Godoy and shows a prior sale of 19,148 common shares on 12/03/2025. That sale is listed under “Securities Sold During The Past 3 Months.”

Does the Form 144 indicate proceeds will be received by the issuer?

The excerpt classifies the transaction as an exercise of stock options and notes compensation, cashless exercise; it does not state a separate cash proceeds recipient in the provided text.

What security and exchange are identified in the AU Form 144?

The filing identifies Common Stock for the issuer and references the NYSE. The transaction date shown is 02/27/2026 and the form type is 144.