SMBC (NASDAQ) Form 144 shows 2,000-share resale tied to option exercise

Rhea-AI Filing Summary

SMBC reported a sale notification for 2,000 shares of Common Stock related to a stock option exercise on 05/27/2026. The filing also shows 2,000 shares of Common Stock were sold on 05/21/2026 by Richard Windes.

Insights

Securities Compliance Lawyer

Form 144 notifies the market of a planned resale of restricted or control securities.

Form 144 here documents a stock option exercise and related resale activity totaling 2,000 shares with transaction dates 05/21/2026 and 05/27/2026. The filing is procedural: it provides required notice for resale under resale rules.

Timing and cash‑flow treatment are stated as cash for the exercise; subsequent filings (e.g., Form 4 or broker reports) would show execution details and beneficial ownership after these transactions.

Key Figures

Shares reported for resale: 2,000 shares Shares sold in past 3 months: 2,000 shares Settlement method: Cash +1 more

4 metrics

Shares reported for resale 2,000 shares stock option exercise dated 05/27/2026

Shares sold in past 3 months 2,000 shares sale by Richard Windes dated 05/21/2026

Settlement method Cash exercise settlement method shown for 05/27/2026

Issuer listed Ameriprise Financial Services, LLC issuer name shown on filing cover data

Key Terms

Form 144, Stock Option Exercise, Restricted/Control Securities

3 terms

Form 144 regulatory

"Filing header and notification of securities to be sold"

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.

Stock Option Exercise financial

"Securities To Be Sold — Stock Option Exercise (1)"

A stock option exercise is the act of using a previously granted right to buy shares of a company's stock at a specific, predetermined price by paying that price and receiving the shares. It matters to investors because exercising changes who owns the shares (which can dilute existing ownership), can trigger taxable events and shift potential gains or losses, and affects voting power and the company’s outstanding share count—like turning a voucher into an actual product that becomes part of circulating supply.

Restricted/Control Securities regulatory

"Context implied by use of Form 144 for resale notice"

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Available on EDGAR 06/05/2026 - 10:29 AM Accepted by SEC EDGAR 06/05/2026 - 10:28 AM Learn about SEC filing dates

FAQ

What does SMBC's Form 144 disclose about the transaction?

The Form 144 discloses a 2,000-share Common Stock transaction tied to a stock option exercise with a transaction date of 05/27/2026, and a prior sale of 2,000 shares on 05/21/2026 by Richard Windes.

Who is identified as the seller in the SMBC Form 144 filing?

The filing identifies Richard Windes as a reported seller for 2,000 shares on 05/21/2026. The issuer listed for the exercised shares is Ameriprise Financial Services, LLC.

Was the SMBC transaction an exercise paid in cash or stock?

The Form 144 shows the stock option exercise on 05/27/2026 was settled for cash. No proceeds amount is disclosed in the provided excerpt.

Does this Form 144 indicate changes to shares outstanding for SMBC?

The filing lists share movements of 2,000 shares on specified dates but does not state total shares outstanding or post-transaction holdings in the provided excerpt.

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	Ameriprise Financial Services, LLC 1525 E. Republic Rd., Suite B115 Springfield MO 65804	2000	137660	11013823	06/05/2026	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	05/27/2026	Stock Option Exercise (1)	Issuer			2000	05/27/2026	Cash

* 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
Richard Windes 2991Oak Grove Rd. Poplar Bluff MO 63901	Common Stock	05/21/2026	2000	136945

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)