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  4. [Form 4] Glass House Brands Inc. Insider Trading Activity

Glass House officer sells 3,818 shares at $8.03

Glass House Brands’ SVP and Corporate Controller reported RSU vesting, tax-withholding share dispositions, and an additional open market sale of Equity Shares.

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Glass House Brands Inc. (GLAS) reported insider transactions by William Tu, SVP and Corporate Controller. On September 1, 2026, 5,800 Restricted Stock Units (RSUs) vested and were settled into Equity Shares, and Tu continued to hold 139,271 RSUs afterward. On September 4, 2026, 2,017 Equity Shares were disposed of at $9.00 per share to satisfy tax withholding obligations related to this vesting. On September 11, 2026, Tu sold 3,818 Equity Shares at $8.03 per share, representing remaining shares from RSUs that had vested on June 1, 2026 after earlier tax-withholding sales.

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Insider Tu William
Role SVP, Corporate Controller
Sold 3,818 shs ($31K)
Approx. gross sale proceeds $31K
Approx. exercise cost $0.00
Type Security Shares Price Value
Sale Equity Shares F1, F5 3,818 $8.03 $31K
Tax Withholding Equity Shares F1, F4 2,017 $9.00 $18K
Exercise Restricted Stock Unit F3, F2, F1 5,800 $0.00 $0.00
Exercise Equity Shares F1, F3 5,800 -- --
Holdings After Transaction: Restricted Stock Unit — 139,271 contracts (Direct); Equity Shares — 3,783 shares (Direct)
Footnotes (5)
  1. F1. The Subordinate Voting Shares, Restricted Voting Shares, and/or Limited Voting Shares of Glass House Brands Inc. ("GHBI") (collectively, the "Equity Shares").
  2. F2. The Reporting Person was granted RSU awards covering 34,800 RSUs on September 1, 2024 (the "September RSUs"). 5,800 of the September RSUs vested on September 1, 2026.
  3. F3. Each RSU represents the right to receive, at settlement, one share of GHBI's Equity Shares.
  4. F4. The Equity Shares were sold to satisfy the Reporting Person's tax withholding obligations at a price of $9.00 per share.
  5. F5. The 3,818 Equity Shares sold on September 11, 2026 represent the remaining Equity Shares acquired upon settlement of the 5,800 RSUs that vested on June 1, 2026, after 1,982 Equity Shares were sold on June 3, 2026 to satisfy the Reporting Person's tax withholding obligations.
Shares sold September 11, 2026 3,818 shares at $8.03 per share Open market or private sale of Equity Shares by William Tu
Shares disposed for tax withholding 2,017 shares at $9.00 per share Equity Shares delivered to satisfy tax withholding obligations on September 4, 2026
RSUs vested on September 1, 2026 5,800 RSUs Portion of 34,800 RSUs granted on September 1, 2024
Original RSU grant 34,800 RSUs RSU awards granted on September 1, 2024
RSUs remaining after vesting 139,271 RSUs Restricted Stock Units reported as held after September 1, 2026 vesting
Restricted Stock Unit financial
"The Reporting Person was granted RSU awards covering 34,800 RSUs"
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
Equity Shares financial
"collectively, the "Equity Shares""
Equity shares are units of ownership in a company that give the holder a claim on a portion of its assets and profits, like owning a slice of a business. They matter to investors because their value can rise or fall with the company’s performance and market sentiment, may provide periodic income through dividends, and often carry voting rights that influence how the business is run.
tax withholding obligations financial
"sold to satisfy the Reporting Person's tax withholding obligations"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did GLAS report for William Tu in this Form 4?
The Form 4 reports 5,800 RSUs vested into Equity Shares on September 1, 2026, a 2,017-share disposition at $9.00 on September 4, 2026 for tax withholding, and a 3,818-share sale at $8.03 on September 11, 2026.

How many Glass House Brands (GLAS) shares did William Tu sell on September 11, 2026?
On September 11, 2026, William Tu sold 3,818 Equity Shares of Glass House Brands Inc. at a price of $8.03 per share. A footnote states these shares came from RSUs that had vested on June 1, 2026, after prior tax-withholding sales.

What RSU activity for GLAS was disclosed for William Tu on September 1, 2026?
On September 1, 2026, 5,800 RSUs from a 34,800-RSU award granted on September 1, 2024 vested. Each RSU represents the right to receive one share of Glass House Brands’ Equity Shares, and Tu reported 139,271 RSUs remaining after this vesting.

Were any Glass House Brands (GLAS) shares disposed to cover taxes for William Tu?
Yes. On September 4, 2026, 2,017 Equity Shares were disposed of at $9.00 per share to satisfy William Tu’s tax withholding obligations related to the September 1, 2026 RSU vesting.

Were these GLAS insider transactions made under a Rule 10b5-1 trading plan?
No. The filing’s Rule 10b5-1 checkbox is not marked as affirming a plan, and the footnotes do not state that the transactions were made pursuant to any Rule 10b5-1 trading arrangement.

What position does William Tu hold at Glass House Brands (GLAS)?
William Tu is identified as an officer of Glass House Brands Inc., serving as SVP, Corporate Controller in the insider ownership report.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →
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SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Tu William
(Last)(First)(Middle)
3645 LONG BEACH BLVD
(Street)
LONG BEACH CALIFORNIA 90807
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Glass House Brands Inc. [ GLAS ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
SVP, Corporate Controller
2a. Foreign Trading Symbol
[GLASS.AU]
3. Date of Earliest Transaction (Month/Day/Year)
09/01/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Equity Shares(1)09/01/2026M5,800A(3)9,618D
Equity Shares(1)09/04/2026F2,017D$9(4)7,601D
Equity Shares(1)09/11/2026S3,818(5)D$8.033,783D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Unit(3)$0(3)09/01/2026M5,800 (2) (2)Equity Shares(1)5,800$0139,271D
Explanation of Responses:
1. The Subordinate Voting Shares, Restricted Voting Shares, and/or Limited Voting Shares of Glass House Brands Inc. ("GHBI") (collectively, the "Equity Shares").
2. The Reporting Person was granted RSU awards covering 34,800 RSUs on September 1, 2024 (the "September RSUs"). 5,800 of the September RSUs vested on September 1, 2026.
3. Each RSU represents the right to receive, at settlement, one share of GHBI's Equity Shares.
4. The Equity Shares were sold to satisfy the Reporting Person's tax withholding obligations at a price of $9.00 per share.
5. The 3,818 Equity Shares sold on September 11, 2026 represent the remaining Equity Shares acquired upon settlement of the 5,800 RSUs that vested on June 1, 2026, after 1,982 Equity Shares were sold on June 3, 2026 to satisfy the Reporting Person's tax withholding obligations.
/s/ Benjamin Vega, Attorney-in-Fact for William Tu09/11/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

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