OCC (NASDAQ) affiliate notifies sale of 50,000 shares via Schwab

Rhea-AI Filing Summary

OCC filed a Form 144 reporting a proposed sale of 50,000 shares of Common Stock through Charles Schwab & Co.

The filing lists an aggregate amount of $916,000.00 and shows 8,827,092 shares outstanding as of 06/26/2026. The 50,000 shares are shown as two vested restricted stock lots dated 01/31/2019 (20,300 and 29,700 shares).

Insights

Insider-transaction compliance analyst

Form 144 notices a proposed affiliate sale of 50,000 shares via broker.

The filing lists 50,000 shares to be sold through Charles Schwab & Co. and an aggregate figure of $916,000.00. It identifies two vested restricted-stock lots dated 01/31/2019 (20,300 and 29,700 shares).

Regulatory implications depend on whether the sale complies with Rule 144 holding periods and volume limitations; timing and execution details are not provided in the excerpt, so subsequent filings or trade reports will show actual dispositions.

Key Figures

Shares proposed for sale: 50,000 shares Aggregate amount: $916,000.00 Shares outstanding: 8,827,092 shares +2 more

5 metrics

Shares proposed for sale 50,000 shares Form 144 notice; two vested lots dated 01/31/2019

Aggregate amount $916,000.00 Aggregate figure shown on the Form 144 cover block

Shares outstanding 8,827,092 shares Listed as of 06/26/2026 on the filing cover block

Vested lot A 20,300 shares Restricted Stock Vesting dated 01/31/2019

Vested lot B 29,700 shares Restricted Stock Vesting dated 01/31/2019

Key Terms

Form 144, Restricted Stock Vesting, Charles Schwab & Co

3 terms

Form 144 regulatory

"Filer Information | 144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Restricted Stock Vesting financial

"Common Stock | 01/31/2019 | Restricted Stock Vesting"

Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

Charles Schwab & Co other

"Common Stock | Charles Schwab & Co 3000 Schwab Way Westlake TX"

FAQ

What does OCC's Form 144 report?

It reports a proposed sale of 50,000 shares of Common Stock through Charles Schwab & Co. The filing lists an aggregate amount of $916,000.00 and two vested restricted‑stock lots dated 01/31/2019.

How many vested restricted stock lots are included in OCC's notice?

The notice shows two vested restricted‑stock lots dated 01/31/2019: 20,300 shares and 29,700 shares, totaling 50,000 shares proposed for sale through the broker.

Does the Form 144 state shares outstanding for OCC?

Yes; the excerpt lists 8,827,092 shares outstanding as of 06/26/2026. This number appears on the filing cover block and is presented alongside the filing date and exchange (NASDAQ).

Who is the broker named for the proposed sale in the Form 144?

The broker listed is Charles Schwab & Co with an address at 3000 Schwab Way, Westlake, TX. The filing indicates the proposed sale would be effected through that broker.

Does Form 144 confirm the sale completed?

No; Form 144 is a notice of a proposed sale by an affiliate. The excerpt shows the proposed quantities and broker but does not provide execution details or confirm completion of any sale.

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

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Available on EDGAR 06/26/2026 - 10:10 AM Accepted by SEC EDGAR 06/26/2026 - 10:09 AM Learn about SEC filing dates

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 Stock	Charles Schwab & Co 3000 Schwab Way Westlake TX 76262	50000	916000.00	8827092	06/26/2026	NASDAQ

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 Stock	01/31/2019	Restricted Stock Vesting	Issuer			20300	01/31/2019	N/A
Common Stock	01/31/2019	Restricted Stock Vesting	Issuer			29700	01/31/2019	N/A

* 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)