SEALSQ CFO exercises 130,500 stock options

SEALSQ Corp Chief Financial Officer John Charles O'Hara reported compensation-related equity activity involving 130,500 options and the same number of ordinary shares.

Rhea-AI Filing Summary

SEALSQ Corp Chief Financial Officer John Charles O'Hara reported compensation-related equity activity involving 130,500 options and the same number of ordinary shares. He received an employee stock option grant for 130,500 shares at an exercise price of $0.01 per share and then exercised the entire grant on the same day, acquiring 130,500 ordinary shares.

Following the exercise, his directly held ordinary shares increased to 346,095. The filing notes that the option exercise was carried out under a pre-arranged Rule 10b5-1 trading plan, indicating the transaction timing was set in advance rather than decided opportunistically.

Insider Trade Summary 10b5-1

130,500 shares exercised/converted

Exercise 3 txns

Insider O'Hara John Charles

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Employee Stock Option (right to buy)	130,500	$0.00	$0.00
Exercise	Employee Stock Option (right to buy)	130,500	$0.00	$0.00
Exercise	Ordinary Shares	130,500	$0.01	$1K

Holdings After Transaction: Employee Stock Option (right to buy) — 0 contracts (Direct); Ordinary Shares — 346,095 shares (Direct)

Footnotes (1)

1. F1. The option exercise reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 17, 2025.

Key Figures

Options granted: 130,500 options Exercise price: $0.01 per share Shares acquired: 130,500 ordinary shares +3 more

6 metrics

Options granted 130,500 options Employee stock option grant to CFO

Exercise price $0.01 per share Exercise price of employee stock options

Shares acquired 130,500 ordinary shares Shares received from option exercise

Shares held after 346,095 shares Direct ordinary share ownership after transactions

Option expiration April 30, 2032 Expiration date of reported stock option grant

Exercise date April 13, 2026 Date of grant and exercise of the options

Key Terms

Employee Stock Option, derivative security, Rule 10b5-1 trading plan, Ordinary Shares

4 terms

Employee Stock Option financial

"security_title: "Employee Stock Option (right to buy)""

An employee stock option is a promise that lets a worker buy company shares later at a predetermined price, often after they stay for a certain period or meet performance goals — think of it like a coupon that locks in today's price for a future purchase. It matters to investors because options align employees’ incentives with company performance, can increase the number of shares outstanding (dilution) when exercised, and represent a compensation cost that affects reported profits and shareholder value.

derivative security financial

"transaction_code_description: "Exercise or conversion of derivative security""

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

Rule 10b5-1 trading plan regulatory

"effected pursuant to a Rule 10b5-1 trading plan adopted"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

Ordinary Shares financial

"underlying_security_title: "Ordinary Shares""

Ordinary shares are a type of ownership stake in a company, giving shareholders a right to participate in the company’s profits and decision-making through voting. They are similar to owning a piece of a business, and their value can rise or fall based on the company's performance. Investors buy ordinary shares to potentially earn dividends and benefit from the company's growth over time.

FAQ

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

What insider transaction did SEALSQ (LAES) report for CFO John Charles O'Hara?

SEALSQ reported that CFO John Charles O'Hara received and exercised 130,500 employee stock options. These options were converted into 130,500 ordinary shares, increasing his direct share ownership as part of a compensation-related equity transaction.

How many SEALSQ (LAES) shares does the CFO hold after this Form 4 filing?

After the reported transactions, CFO John Charles O'Hara directly holds 346,095 SEALSQ ordinary shares. This total reflects the acquisition of 130,500 shares through exercising employee stock options at an exercise price of $0.01 per share.

At what price were the SEALSQ (LAES) employee stock options granted to the CFO?

The employee stock options granted to the SEALSQ CFO carry an exercise price of $0.01 per share. He exercised all 130,500 options at this price, converting them into an equal number of ordinary shares in a single day.

Were the SEALSQ (LAES) CFO’s option exercises under a Rule 10b5-1 plan?

Yes. The filing states the option exercise was effected under a Rule 10b5-1 trading plan adopted on October 17, 2025. Such plans pre-schedule trades, meaning the transaction timing was determined in advance rather than through discretionary market timing.

Did the SEALSQ (LAES) CFO sell any shares in this Form 4 transaction?

The Form 4 does not report any share sales by the CFO. It shows a grant of 130,500 employee stock options and their exercise into 130,500 ordinary shares, resulting in increased direct share ownership without a corresponding sale entry.

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

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Accepted by SEC EDGAR 04/14/2026 - 04:15 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED 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).

X

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^*

O'Hara John Charles

(Last) (First) (Middle)

C/O SEALSQ CORP

AVENUE LOUIS-CASAI 58

(Street)

COINTRIN 1216

(City) (State) (Zip)

SWITZERLAND

(Country)

2. Issuer Name and Ticker or Trading Symbol
SEALSQ Corp [ LAES ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/13/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Ordinary Shares	04/13/2026		M		130,500	A	$0.01	346,095	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	$0.01	04/13/2026		A		130,500		04/13/2026	04/30/2032	Ordinary Shares	130,500	$0	130,500	D
Employee Stock Option (right to buy)	$0.01	04/13/2026(1)		M			130,500	04/13/2026	04/30/2032	Ordinary Shares	130,500	$0	0	D

Explanation of Responses:

1. The option exercise reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 17, 2025.

	/s/ John O'Hara	04/13/2026
	** Signature of Reporting Person	Date
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)