AU (NYSE: AU) affiliate notifies sale of 3,088 shares via cashless option

Rhea-AI Filing Summary

AU files a Form 144 notice to sell 3,088 common shares tied to an Exercise of Stock Options on 03/04/2026, described as compensation, cashless exercise.

The filing lists BNP PARIBAS, NEW YORK BRANCH as custody for the shares. The excerpt also shows 8,028 shares sold during the past three months by Lizelle Marwick on 03/04/2026.

Insights

Securities Attorney

Form 144 documents an affiliate’s proposed resale of 3,088 shares via a cashless option exercise.

The filing lists 3,088 common shares to be sold following an Exercise of Stock Options on 03/04/2026, described verbatim as compensation, cashless exercise. The custodian is identified as BNP PARIBAS, NEW YORK BRANCH.

Related activity shows 8,028 shares sold in the past three months by Lizelle Marwick on 03/04/2026. Timing and cash‑flow treatment beyond the stated exercise description are not provided in the excerpt; subsequent filings would state sale method and results.

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Accepted by SEC EDGAR 03/04/2026 - 11:50 AM Learn about SEC filing dates

FAQ

What does AU's Form 144 report?

The filing reports a proposed resale of 3,088 common shares related to an Exercise of Stock Options on 03/04/2026, described as compensation, cashless exercise.

Who holds the shares listed on AU's Form 144?

The custodian is listed as BNP PARIBAS, NEW YORK BRANCH at 787 Seventh Avenue, New York, NY. The filing ties the shares to that custody arrangement.

Did AU report recent insider sales alongside the Form 144?

Yes; the excerpt records 8,028 shares sold during the past three months by Lizelle Marwick on 03/04/2026, shown separately in the filing.

Is the Form 144 sale cash or cashless?

The sale tied to the 3,088 shares is described verbatim as an Exercise of Stock Options with compensation, cashless exercise on 03/04/2026.

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	3088	396066.88	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			3088	03/04/2026	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
Lizelle Marwick 6363 S. Fiddlers Green Circle Suite 1000, Greenwood Village Denver CO 80111	Common Stock	03/04/2026	8028	16338987

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)