StoneX Group CEO sells 56,250 shares under trading plan

Rhea-AI Filing Summary

At StoneX Group Inc., Chief Executive Officer Philip Andrew Smith exercised 56,250 stock options on September 28, 2026, at an exercise price of $8.90 per share, acquiring 56,250 common shares and selling 56,250 common shares at an average price of $65.6869 per share under a Rule 10b5-1 trading plan. He reported 860,625 stock options following the exercise.

Insider Trade Summary 10b5-1

Exercise and Sale: 56,250 shares ($3.19M approx. pre-tax spread)

Exercise and Sale 3 txns

Insider Smith Philip Andrew

Role Chief Executive Officer

Sold 56,250 shs ($3.69M)

Approx. gross sale proceeds $3.69M

Approx. exercise cost $501K

Approx. pre-tax spread $3.19M

Type	Security	Shares	Price	Value
Exercise	Stock Options	56,250	$0.00	$0.00
Exercise	Common Stock	56,250	$8.90	$501K
Sale	Common Stock F1	56,250	$65.6869	$3.69M

Holdings After Transaction: Stock Options — 860,625 contracts (Direct); Common Stock — 738,216 shares (Direct)

Footnotes (1)

1. 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.

Key Figures

Stock options exercised: 56,250 options Exercise price: $8.90 per share Common shares acquired: 56,250 shares +3 more

6 metrics

Stock options exercised 56,250 options September 28, 2026

Exercise price $8.90 per share Options exercised September 28, 2026

Common shares acquired 56,250 shares September 28, 2026

Common shares sold 56,250 shares September 28, 2026

Average sale price $65.6869 per share Sale on September 28, 2026

Stock options following transaction 860,625 options Reported following the September 28, 2026 exercise

Key Terms

Rule 10b5-1 trading plan, exercise price, average price

3 terms

Rule 10b5-1 trading plan regulatory

"sale reported under a Rule 10b5-1 trading plan"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

exercise price financial

"options exercised at an $8.90 exercise price"

The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.

average price financial

"The price reported represents an average price."

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many SNEX shares did the CEO sell, and at what price?

Philip Andrew Smith sold 56,250 common shares on September 28, 2026, at an average price of $65.6869 per share. The sale was reported under a Rule 10b5-1 trading plan. The price represents an average; detailed share counts at each separate price can be provided upon request.

How many SNEX stock options did the CEO exercise?

Philip Andrew Smith exercised 56,250 stock options on September 28, 2026, at an exercise price of $8.90 per share, acquiring 56,250 common shares.

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

Form 4 Insider Transactions: What Each Field Means →

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Available on EDGAR 09/29/2026 - 09:39 PM Accepted by SEC EDGAR 09/29/2026 - 09:38 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Smith Philip Andrew

(Last) (First) (Middle)

230 PARK AVENUE

10TH FLOOR

(Street)

NEW YORK NEW YORK 10169

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
StoneX Group Inc. [ SNEX ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/28/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/28/2026		M		56,250	A	$8.9	794,466	D
Common Stock	09/28/2026		S		56,250	D	$65.6869(1)	738,216	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Options	$8.9	09/28/2026		M			56,250	12/05/2021	12/05/2026	Common Stock	56,250	$0	860,625	D

Explanation of Responses:

1. 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.

Remarks:

	Philip Andrew Smith	09/29/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)