ETRADE Financial (OUST) affiliate files to sell RSU-derived shares under Form 144

Rhea-AI Filing Summary

ETRADE FINANCIAL CORPORATION filed a Form 144 notice for proposed sales of Common Stock tied to restricted stock units. The notice lists 7,000 and 13,333 restricted stock units with grant dates 03/16/2023 and 03/21/2025, respectively.

The filing also reports a prior sale by Darien Spencer of 10,919 shares on 12/12/2025 for $272,734.78. The filing identifies NASDAQ as the market and includes issuer address details.

Insights

Corporate Governance Specialist

Affiliate filing lists proposed sales of RSU-derived shares and a recent insider sale.

The notice lists two RSU awards totaling 20,333 units (7,000 and 13,333) with grant dates 03/16/2023 and 03/21/2025, and indicates they are proposed for sale under Form 144 rules. This characterizes planned dispositions by an affiliate rather than issuer issuances.

Cash‑flow treatment and exact sale mechanics are not stated in the excerpt; prior activity includes a sale of 10,919 shares on 12/12/2025 for $272,734.78. Subsequent filings would show actual execution details.

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	ETRADE FINANCIAL CORPORATION 3 EDISON DRIVE ALPHARETTA GA 30005	12495	256772.25	62803991	03/12/2026	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	03/11/2026	Restricted stock units awarded under incentive award plan	Issuer			7000	03/16/2023	Services rendered
Common Stock	03/11/2026	Restricted stock units awarded under incentive award plan	Issuer			13333	03/21/2025	Services rendered

* 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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Darien Spencer 350 Treat Avenue San Francisco CA 94110	Common Stock	12/12/2025	10919	272734.78

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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 OUST's Form 144 disclose about proposed sales?

The filing discloses proposed sales tied to restricted stock units of 7,000 and 13,333 units granted on 03/16/2023 and 03/21/2025. It lists NASDAQ as the market and the issuer address.

Who reported recent insider sales in the Form 144 excerpt?

The excerpt reports a prior sale by Darien Spencer of 10,919 shares on 12/12/2025 for $272,734.78. That transaction is shown under 'Securities Sold During The Past 3 Months.'

Are the proceeds to the issuer disclosed in this Form 144 excerpt?

The excerpt does not state any proceeds treatment for the proposed sales. It lists unit counts and a prior sale price but does not describe whether proceeds go to the issuer or selling holder.

What market and issuer details appear in the filing?

The filing lists the market as NASDAQ and provides an issuer address of 3 Edison Drive, Alpharetta, GA 30005. The excerpt identifies the securities as Common Stock tied to RSU awards.