DOX (Nasdaq) affiliate files Form 144 listing RSU lots for potential sale

Rhea-AI Filing Summary

DOX filed a Form 144 notifying a proposed sale of Ordinary shares tied to previously issued Restricted Stock Units. The filing lists multiple award dates and grant sizes, including 41,434 (11/13/2018), 30,895 (11/15/2019), and 18,724 (11/15/2019).

The notice identifies Oppenheimer & Co. Inc. as the broker and references 03/18/2026 and Nasdaq as the market; the filing lists several additional RSU grant counts by grant date.

Insights

Equity Compensation Attorney

Form 144 reports proposed affiliate sales of shares issued under RSU awards.

The filing enumerates Restricted Stock Units by grant date and award size, such as 41,434 (granted 11/13/2018) and 30,895 (granted 11/15/2019), indicating planned dispositions tied to compensation awards.

Timing and exact sale amounts per award are not detailed beyond the listed dates; subsequent SEC notices or broker reports will show executed transactions and cashflow treatment.

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
Ordinary	Oppenheimer & Co. Inc. 85 Broad St New York NY 10004	166714	11114822.38	108448276	03/18/2026	Nasdaq

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 *
Ordinary	11/13/2015	Restricted Stock Units	Issuer			11667	11/13/2015	N/A
Ordinary	11/13/2015	Restricted Stock Units	Issuer			11667	11/13/2015	N/A
Ordinary	11/11/2016	Restricted Stock Units	Issuer			12162	11/11/2016	N/A
Ordinary	11/11/2016	Restricted Stock Units	Issuer			13083	11/11/2016	N/A
Ordinary	11/13/2017	Restricted Stock Units	Issuer			13862	11/13/2017	N/A
Ordinary	11/13/2017	Restricted Stock Units	Issuer			13499	11/13/2017	N/A
Ordinary	11/13/2018	Restricted Stock Units	Issuer			16574	11/13/2018	N/A
Ordinary	11/13/2018	Restricted Stock Units	Issuer			41434	11/13/2018	N/A
Ordinary	11/15/2019	Restricted Stock Units	Issuer			18724	11/15/2019	N/A
Ordinary	11/15/2019	Restricted Stock Units	Issuer			30895	11/15/2019	N/A

* 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

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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 DOX's Form 144 mean for shareholders?

A Form 144 notifies the SEC of a proposed sale of shares by an affiliate. The filing lists specific Restricted Stock Unit awards and grant dates, indicating which award lots may be disposed of under applicable resale rules.

Which broker is named on the DOX Form 144?

The filing names Oppenheimer & Co. Inc. as the broker. The notice includes broker contact info and a market reference to Nasdaq for execution.

How many RSUs are referenced in the DOX filing?

The filing lists multiple RSU grants with specific counts by date. Examples include 41,434 (11/13/2018), 30,895 (11/15/2019), and 18,724 (11/15/2019).

Does the Form 144 confirm the shares were sold?

No, the Form 144 notifies a proposed sale rather than confirming completion. Execution details and proceeds will appear in subsequent trade reports or filings.

Is there a sale date listed in the DOX Form 144?

The filing references 03/18/2026 in the header. The document lists grant dates for RSUs but does not provide finalized sale execution details in the excerpt.