StoneX CLO exercises options, sells 33,750 shares
StoneX Group Inc.'s Chief Governance/Legal Officer Diego Rotsztain reported an exercise-and-sell transaction in company common stock.
Accepted by SEC EDGAR
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Form Type
4/A
Rhea-AI Filing Summary
StoneX Group Inc.'s Chief Governance/Legal Officer Diego Rotsztain reported an exercise-and-sell transaction in company common stock. On May 18, 2026, he exercised 33,750 stock options at $18.39 per share, receiving the same number of common shares.
That day he sold 20,054 shares at an average price of $111.4836, followed by a further sale of 13,696 shares at an average price of $112.7862 on May 20, 2026, both in open-market transactions. After these trades he directly held 23,247 common shares and 405,000 stock options. The amendment corrects previously reported option exercise and expiration dates, with all other information unchanged.
Insider Trade Summary 10b5-1
Exercise and sale activity reported; no spread calculated
Exercise and Sale
4 txns
Insider
Rotsztain Diego
Role
Chief Governance/Legal Officer
Sold
33,750 shs ($3.78M)
Approx. gross sale proceeds
$3.78M
Approx. exercise cost
$621K
Share of Position Sold
59.2%
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Sale | Common Stock | 13,696 | $112.7862 | $1.54M |
| Exercise | Stock Options | 33,750 | $0.00 | $0.00 |
| Exercise | Common Stock | 33,750 | $18.39 | $621K |
| Sale | Common Stock | 20,054 | $111.4836 | $2.24M |
Holdings After Transaction:
Stock Options — 405,000 options (Direct);
Common Stock — 23,247 shares (Direct)
Holdings Before and After:
Stock Options, 438,750 to 405,000 options (Direct);
Common Stock, 23,247 to 23,247 shares (Direct)
Other Insiders: 8 other insiders reported open-market sales of this stock in the 30 days up to this filing.
Footnotes (2)
- F1. The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares sold at each separate price.
- F2. Amendment filed to correct the Date Exercisable and Expiration Date previously reported on May 20, 2026 due to a scrivener's error. All other information remains unchanged.
Key Figures
Shares sold May 20, 2026: 13,696 shares at $112.7862
Shares sold May 18, 2026: 20,054 shares at $111.4836
Options exercised: 33,750 shares at $18.39
+3 more
6 metrics
Shares sold May 20, 2026
13,696 shares at $112.7862
Open-market sale of common stock
Shares sold May 18, 2026
20,054 shares at $111.4836
Open-market sale of common stock
Options exercised
33,750 shares at $18.39
Stock option exercise on May 18, 2026
Shares held after trades
23,247 shares
Direct common stock ownership post-transaction
Options held after exercise
405,000 options
Total stock options following derivative transaction
Net shares sold
33,750 shares
Net-sell direction per transaction summary
Key Terms
open-market sale, derivative exercise/conversion, stock options, derivative security, +1 more
5 terms
open-market sale financial
"transaction_action": "open-market sale""
An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.
derivative exercise/conversion financial
"transaction_action": "derivative exercise/conversion""
stock options financial
""security_title": "Stock Options""
Stock options are agreements that give a person the right to buy or sell a company's stock at a specific price within a certain time frame. They are often used as a reward or incentive, similar to a coupon that can be used later if the stock price rises, allowing the holder to make a profit.
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.
scrivener's error regulatory
"due to a scrivener's error. All other information remains unchanged."
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What did StoneX (SNEX) executive Diego Rotsztain report in this Form 4/A?
Diego Rotsztain reported exercising stock options and selling StoneX common shares. He exercised 33,750 options at $18.39 per share, then sold 33,750 shares across two open-market transactions, and filed an amendment to correct previously reported option dates.
What stock options did Diego Rotsztain exercise in StoneX (SNEX)?
Rotsztain exercised 33,750 StoneX stock options with an exercise price of $18.39 per share. The options were exercisable beginning December 5, 2022 and had an expiration date of December 5, 2026, as corrected in this amended filing.
What is the purpose of this amended Form 4/A for StoneX (SNEX)?
The amendment corrects the date exercisable and expiration date for previously reported stock options. The filing states this was due to a scrivener's error and that all other information, including the underlying exercise and sale amounts, remains unchanged.
Were Diego Rotsztain’s StoneX (SNEX) transactions direct or through another entity?
All reported holdings and transactions are coded as direct ownership. The nature-of-ownership fields show direct ownership and the footnotes do not attribute the trades to any separate trust, partnership, or other related entity.
AI-generated analysis. How Rhea-AI works. Not financial advice.
