Ocean Park ETF (DUKH) Files Form 144 for 6,700-Share Sale via Fidelity

Rhea-AI Filing Summary

Ocean Park High Income ETF submitted a Form 144 reporting a proposed sale of 6,700 common shares through Fidelity Brokerage Services, with an aggregate market value of $832,542.67, to be executed approximately on 08/12/2025 on the NYSE. The filing lists 777,624,467 shares outstanding, and the securities to be sold were acquired as restricted stock vesting in February 2022 (two grants of 6,546 and 154 shares) recorded as compensation. The form states “Nothing to Report” for sales in the past three months and includes the required representation that the filer is not aware of undisclosed material adverse information.

Positive

• Filed a clear Rule 144 notice for the proposed sale of 6,700 common shares through Fidelity Brokerage Services.
• Disclosed an aggregate market value of $832,542.67 and the approximate sale date of 08/12/2025.
• Provided acquisition details showing shares were acquired via restricted stock vesting in February 2022 (6,546 and 154 shares) and recorded as compensation.
• Reported Nothing to Report for securities sold during the past three months, indicating no recent dispositions by the filer.

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine Rule 144 notice for a modest block of shares; appears unlikely to move the market materially.

The filing documents a proposed sale of 6,700 common shares valued at $832,542.67 via Fidelity with an approximate sale date of 08/12/2025. The filing also reports total outstanding shares of 777,624,467, and no sales in the past three months. The shares were acquired via restricted stock vesting in February 2022 and recorded as compensation. From a trading-impact perspective, the disclosed quantity is small relative to the outstanding share count and the filing follows standard Rule 144 disclosure practice.

Corporate Governance Expert

TL;DR: Disclosure is compliant and transparent; shows executive/insider compensation converted to tradable shares.

The notice identifies the securities as resulting from restricted stock vesting and specifies the broker and aggregate value, satisfying Rule 144 reporting elements. The statement that there were no sales in the prior three months and the attestation regarding material undisclosed information are standard governance controls. The filing provides clear provenance of the shares (compensation-related grants dated February 2022).

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	Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917	6700	832542.67	777624467	08/12/2025	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	02/19/2022	Restricted Stock Vesting	Issuer			154	02/19/2022	Compensation
Common	02/08/2022	Restricted Stock Vesting	Issuer			6546	02/08/2022	Compensation

* 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 DUKH report in this Form 144 filing?

The filing reports a proposed sale of 6,700 common shares via Fidelity with an aggregate market value of $832,542.67, to be sold approximately on 08/12/2025 on the NYSE.

How were the shares acquired according to the filing for DUKH?

The shares were acquired through restricted stock vesting in February 2022: 6,546 shares on 02/08/2022 and 154 shares on 02/19/2022, recorded as compensation.

Did the filer report any securities sold in the past three months for DUKH?

No. The filing explicitly states "Nothing to Report" for securities sold during the past three months.

What broker will handle the proposed sale of DUKH shares?

The broker named in the filing is Fidelity Brokerage Services LLC, address listed in the notice.

How many shares are outstanding according to the Form 144 for DUKH?

The filing lists total shares outstanding as 777,624,467.