[144] Ocean Park High Income ETF SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Ocean Park High Income ETF (DUKH) discloses a proposed sale of 2,000 common shares through Fidelity Brokerage Services with an aggregate market value of $248,763.82. The filing lists the approximate sale date as 08/20/2025 on the NYSE and reports total shares outstanding of 777,624,467. The shares were acquired on 02/06/2023 via restricted stock vesting and paid as compensation. No securities were sold by the filer in the past three months. The notice includes the standard attestation that the seller does not possess undisclosed material adverse information.

Positive

• Transparent disclosure of the proposed sale including broker, number of shares, aggregate market value, and planned sale date
• Clear record of acquisition showing shares were received via restricted stock vesting and paid as compensation
• No sales in past three months reported, indicating this filing is not part of a recent selling pattern

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine insider sale disclosure detailing a small proposed sale relative to outstanding shares.

The filing formally notifies the market of an intended sale of 2,000 shares by a person who received these shares as compensation through restricted stock vesting on 02/06/2023. The broker is identified and the sale is scheduled on 08/20/2025. Given the size disclosed versus the reported outstanding shares (777,624,467), the direct market impact appears limited. The filing complies with Rule 144 notice requirements and shows no related sales in the prior three months.

Corporate Governance Expert

TL;DR: Proper procedural disclosure; includes the required attestation about material nonpublic information.

The document contains the standard attestation that the seller is not aware of undisclosed material adverse information and references Rule 10b5-1 plan language. It identifies acquisition details (restricted stock vesting) and payment as compensation, which aids transparency about insider compensation and subsequent liquidation. This is a routine compliance filing without additional governance issues disclosed.

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	2000	248763.82	777624467	08/20/2025	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	02/06/2023	Restricted Stock Vesting	Issuer			2000	02/06/2023	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 the DUKH Form 144 disclose about the proposed sale?

The filing discloses a proposed sale of 2,000 common shares via Fidelity with aggregate value $248,763.82, scheduled for 08/20/2025 on the NYSE.

When and how were the shares being sold acquired for DUKH?

The shares were acquired on 02/06/2023 through restricted stock vesting and the payment nature is listed as compensation.

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

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

How many DUKH shares are outstanding according to the filing?

The filing reports 777,624,467 shares outstanding.

Does the filing include any attestation about material nonpublic information?

Yes. The signer represents they do not know any material adverse information about the issuer that has not been publicly disclosed.