[144] Ocean Park High Income ETF SEC Filing

Rhea-AI Filing Summary

The filer submitted a Form 144 notifying a proposed sale of 10,000 common shares of the issuer. The sale is scheduled approximately for 08/25/2025 through Rockefeller Capital Management (broker address provided). The aggregate market value of the shares at filing is $1,241,400.00 and the issuer's reported shares outstanding is 777,000,000. All 10,000 shares were acquired as stock awards from Duke Energy on four dates in February 2025 with transaction dates and award amounts listed in the filing. The filer states no sales in the past three months and certifies no undisclosed material adverse information.

Positive

• Complete disclosure of number of shares (10,000), aggregate market value ($1,241,400.00), and approximate sale date (08/25/2025)
• Broker identified with name and address (Rockefeller Capital Management)
• Acquisition details provided showing all shares were stock awards from Duke Energy with specific dates and award amounts
• Filer certifies no undisclosed material adverse information and reports no sales in the past three months

Negative

• None.

Insights

Securities Compliance Analyst

TL;DR: Routine Rule 144 notice disclosing a 10,000-share sale from recent stock awards; paperwork appears complete.

The filing provides the principal items required under Rule 144: class of security, broker name and address, number of shares to be sold (10,000), aggregate market value ($1,241,400.00), approximate sale date (08/25/2025), and acquisition details showing that the shares were received as stock awards from Duke Energy on specific February 2025 dates. The filing also states no sales in the prior three months and includes the statutory certification about material information. From a compliance standpoint, the notice contains the key elements regulators expect for a proposed Rule 144 disposition.

Corporate Governance Specialist

TL;DR: Disclosure is clear on origin and timing of awards and names the executing broker; appears to meet routine governance transparency expectations.

The notice identifies the broker (Rockefeller Capital Management), the planned transaction date, and ties each tranche of shares to specific stock award dates and payment classification (compensation). The filing’s statements about absence of undisclosed material information and prior three-month sales provide the standard attestations. No additional corporate governance concerns are raised by the content provided in this short-form filing.

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	Rockefeller Capital Management 5605 Carnegie BLVD STE 220 Charlotte NC 28209	10000	1241400.00	777000000	08/25/2025	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	02/23/2025	Stock Award	Duke Energy			1455	02/23/2025	Compensation
Common	02/22/2025	Stock Award	Duke Energy			1618	02/22/2025	Compensation
Common	02/22/2025	Stock Award	Duke Energy			1924	02/22/2025	Compensation
Common	02/07/2025	Stock Award	Duke Energy			5003	02/07/2025	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 Form 144 for DUKH report?

The Form 144 reports a proposed sale of 10,000 common shares with an aggregate market value of $1,241,400.00, approximately to be sold on 08/25/2025.

Who is the broker for the proposed sale on the Form 144?

The broker named is Rockefeller Capital Management at the address listed in the filing.

How were the 10,000 shares acquired according to the filing?

All 10,000 shares were acquired as stock awards from Duke Energy on dates in February 2025, with individual award amounts of 1455, 1618, 1924, and 5003 shares.

Does the filing report any sales of the issuer's securities in the past three months?

The filing states "Nothing to Report" for securities sold during the past three months.

What attestation does the filer make about material information?

The filer represents by signature that they do not know of any material adverse information about the issuer that has not been publicly disclosed.