[144] StoneX Group Inc. SEC Filing

Rhea-AI Filing Summary

StoneX Group Inc. (SNEX) Form 144 notifies the market that an insider intends to sell common stock through a broker. The filing shows 2,000 shares offered via Merrill Lynch with an aggregate market value of $193,000, against 52,164,564 shares outstanding, implying the offering is a very small fraction of total shares. The securities were originally acquired by Sean M O'Connor on 04/24/2009 in a private placement from the company; payment was cash. The filing also reports a recent sale of 3,000 shares by the Sean M O'Connor Family Trust for $284,700. The signer certifies no undisclosed material adverse information.

Positive

• Full Rule 144 disclosure provided including broker, acquisition date, and payment method
• Sale size is minimal relative to outstanding shares (2,000 of 52,164,564, ~0.0038%)
• Historical acquisition disclosed (private placement to CEO on 04/24/2009)

Negative

• Insider-related sales occurred recently (3,000 shares sold by the family trust on 08/19/2025)
• Potential liquidity signal from multiple dispositions by related parties within a short period

Insights

Securities Analyst

TL;DR: Insider disclosed a small planned sale (2,000 shares) and recent 3,000-share sale; immaterial to market cap.

The filing documents an intended sale of 2,000 common shares via Merrill Lynch valued at $193,000 against 52.16 million shares outstanding, representing roughly 0.0038% of the share count. The securities were acquired in 2009 via a private placement to the CEO, indicating long-term holding prior to these dispositions. A related trust sold 3,000 shares recently for $284,700. From a market-impact perspective these amounts are immaterial to company capitalization but are useful for monitoring insider liquidity and timing.

Corporate Governance Expert

TL;DR: Disclosure follows Rule 144 mechanics; no red flags but notable that multiple dispositions occurred close together.

The report complies with Rule 144 disclosure by identifying the seller, acquisition history, broker, and payment method. The origin of the shares (private placement to the CEO in 2009) is disclosed, and the signer affirms lack of undisclosed material information. Governance-wise, repeated small disposals by the CEO or related trust warrant monitoring for patterns, but the sizes here are small relative to outstanding shares and do not on their face indicate insider distress or structural governance concerns.

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	Merrill Lynch 2 Pine Street New Canaan CT 06840	2000	193000.00	52164564	08/20/2025	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	04/24/2009	Private Placement from Company to CEO	Sean M O'Connor			44831	04/24/2009	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
Sean M O'Connor Family Trust 6717 Oasis Pass Austin TX 78732	Common	08/19/2025	3000	284700.00

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)

FAQ

What does the Form 144 filed for SNEX disclose?

The filing discloses an intended sale of 2,000 common shares via Merrill Lynch valued at $193,000, the shares were acquired 04/24/2009 in a private placement to the CEO, and a related trust sold 3,000 shares on 08/19/2025 for $284,700.

How large is the proposed sale relative to StoneX's outstanding shares (SNEX)?

The proposed 2,000-share sale is approximately 0.0038% of the 52,164,564 shares outstanding.

Who originally acquired the shares being sold under Rule 144?

The shares were acquired by Sean M O'Connor on 04/24/2009 via a private placement from the company; payment was cash.

Was there any recent related-party sale disclosed?

Yes; the Sean M O'Connor Family Trust sold 3,000 shares on 08/19/2025 for $284,700.

Does the filing indicate undisclosed material information about StoneX (SNEX)?

The signer represents they do not know any material adverse information about the issuer that has not been publicly disclosed.