StoneX CRO sells 103K shares after option exercise

StoneX Group’s Chief Risk Officer exercised stock options and sold over 100,000 SNEX shares in Rule 10b5-1 plan trades.

Rhea-AI Filing Summary

StoneX Group Inc. (SNEX) reported that Chief Risk Officer Mark Lowry Maurer exercised 69,372 stock options on September 14, 2026 at an exercise price of $8.90 per share into an equal number of common shares, then sold a total of 103,092 common shares on September 14–15, 2026 at average prices of $68.8278 and $67.0248 per share in open market or private transactions. After the option exercise, he held 575,622 stock options directly, and the transactions were made under a Rule 10b5-1 trading plan.

Insider Trade Summary 10b5-1

Exercise and sale activity reported; no spread calculated

Exercise and Sale 4 txns

Insider Maurer Mark Lowry

Role Insider

Sold 103,092 shs ($7.00M)

Approx. gross sale proceeds $7.00M

Approx. exercise cost $617K

Type	Security	Shares	Price	Value
Sale	Common Stock F1	50,528	$67.0248	$3.39M
Exercise	Stock Options	69,372	$0.00	$0.00
Exercise	Common Stock	69,372	$8.90	$617K
Sale	Common Stock F1	52,564	$68.8278	$3.62M

Holdings After Transaction: Stock Options — 575,622 contracts (Direct); Common Stock — 203,244 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

Shares sold September 14, 2026: 52,564 shares Shares sold September 15, 2026: 50,528 shares Total shares sold: 103,092 shares +4 more

7 metrics

Shares sold September 14, 2026 52,564 shares Common stock sale by Chief Risk Officer at average price $68.8278

Shares sold September 15, 2026 50,528 shares Common stock sale by Chief Risk Officer at average price $67.0248

Total shares sold 103,092 shares Aggregate common shares sold across both sale transactions

Options exercised 69,372 options Stock options exercised into common stock on September 14, 2026

Option exercise price $8.90 per share Exercise price for 69,372 stock options converted to common stock

Remaining stock options 575,622 options Directly held by Chief Risk Officer after the reported option exercise

Option expiration date December 5, 2026 Expiration date for the exercised stock options

Key Terms

Rule 10b5-1, Stock Options, derivative security, average price

4 terms

Rule 10b5-1 regulatory

"The transactions were made under a <b>Rule 10b5-1</b> trading plan."

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

Stock Options financial

"The filing reports the exercise of <b>Stock Options</b> into common stock."

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

"One transaction is described as an exercise or conversion of a <b>derivative security</b>."

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.

average price financial

"The footnote states the sale price reported represents an <b>average price</b>."

FAQ

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

What insider transactions did StoneX Group Inc. (SNEX) disclose for Mark Lowry Maurer?

StoneX disclosed that Chief Risk Officer Mark Lowry Maurer exercised 69,372 stock options at $8.90 per share on September 14, 2026 and sold a total of 103,092 common shares on September 14–15, 2026 in open market or private transactions.

How many SNEX shares did the Chief Risk Officer sell and at what prices?

Mark Lowry Maurer sold 52,564 shares of StoneX common stock on September 14, 2026 at an average price of $68.8278 per share and 50,528 shares on September 15, 2026 at an average price of $67.0248 per share, according to the filing.

Were the recent SNEX insider trades by the Chief Risk Officer under a Rule 10b5-1 plan?

Yes. The filing indicates that the transactions reported for StoneX Chief Risk Officer Mark Lowry Maurer were made pursuant to a Rule 10b5-1 trading plan, as shown by the checked affirmative Rule 10b5-1 box at the document level.

What stock options did the StoneX (SNEX) Chief Risk Officer exercise in this Form 4?

He exercised 69,372 stock options for StoneX common stock on September 14, 2026 at an exercise price of $8.90 per share, converting them into 69,372 common shares in a derivative exercise transaction reported in the Form 4.

How many StoneX stock options does the Chief Risk Officer hold after these transactions?

After exercising options on September 14, 2026, Mark Lowry Maurer directly held 575,622 stock options related to StoneX common stock, as reported in the post-transaction derivative holdings line in the Form 4 data.

What does the footnote say about the SNEX share sale prices in this Form 4?

For certain StoneX share sales, the footnote explains that the reported sale price represents an average price, and states that the reporting person will provide full information on the number of shares sold at each separate price upon request.

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 09/15/2026 - 09:41 PM Accepted by SEC EDGAR 09/15/2026 - 09:41 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^*

Maurer Mark Lowry

(Last) (First) (Middle)

230 SOUTH LASALLE

SUITE 10-500

(Street)

CHICAGO ILLINOIS 60604

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/14/2026

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	09/14/2026		M		69,372	A	$8.9	306,336	D
Common Stock	09/14/2026		S		52,564	D	$68.8278(1)	253,772	D
Common Stock	09/15/2026		S		50,528	D	$67.0248(1)	203,244	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	09/14/2026		M			69,372	12/05/2021	12/05/2026	Common Stock	69,372	$0	575,622	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:

	Mark L. Maurer	09/15/2026
	** 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)