StoneX legal chief sells shares after option exercise

StoneX Group’s Chief Governance/Legal Officer exercised stock options and completed net open-market sales of common shares pursuant to a Rule 10b5-1 plan.

Rhea-AI Filing Summary

StoneX Group Inc. (SNEX) reported that Chief Governance/Legal Officer Diego Rotsztain exercised and sold shares under a Rule 10b5-1 trading plan. On September 14, 2026, he exercised 50,625 stock options at $12.26 per share into common stock and sold 30,327 shares at a weighted-average price of $68.8322. On September 16, 2026, he sold an additional 20,298 shares of common stock at a weighted-average price of $67.1294. Resulting share holdings are not stated in this filing.

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 50,625 shs ($3.45M)

Approx. gross sale proceeds $3.45M

Approx. exercise cost $621K

Type	Security	Shares	Price	Value
Sale	Common Stock F1	20,298	$67.1294	$1.36M
Exercise	Stock Options	50,625	$0.00	$0.00
Exercise	Common Stock	50,625	$12.26	$621K
Sale	Common Stock F1	30,327	$68.8322	$2.09M

Holdings After Transaction: Stock Options — 506,250 contracts (Direct); Common Stock — 34,870 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: 30,327 shares Average sale price September 14, 2026: $68.8322 per share Shares sold September 16, 2026: 20,298 shares +4 more

7 metrics

Shares sold September 14, 2026 30,327 shares Open-market or private sale of StoneX Group Inc. common stock

Average sale price September 14, 2026 $68.8322 per share Weighted-average price for 30,327 common shares sold

Shares sold September 16, 2026 20,298 shares Open-market or private sale of StoneX Group Inc. common stock

Average sale price September 16, 2026 $67.1294 per share Weighted-average price for 20,298 common shares sold

Stock options exercised 50,625 options Options converted into 50,625 common shares on September 14, 2026

Option exercise price $12.26 per share Exercise price of stock options converted into common stock

Net shares sold 50,625 shares Form-level summary of net sell direction across reported transactions

Key Terms

Rule 10b5-1, stock options, derivative security, weighted-average price

4 terms

Rule 10b5-1 regulatory

"The filing affirms the transactions were effected under a Rule 10b5-1 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

"He exercised 50,625 stock options at $12.26 per share 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

"Transaction code M is described as 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.

weighted-average price financial

"The price reported represents an average price for the shares sold"

Weighted-average price is the average of multiple prices where each price is counted according to its size or importance—larger trades carry more weight than smaller ones, like averaging course grades by credit hours. It matters to investors because it gives a more realistic picture of the true price paid or received, helping assess trade execution, compare performance, calculate cost basis, and value positions more accurately than a simple average.

FAQ

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

What insider transactions did SNEX Chief Governance/Legal Officer Diego Rotsztain report?

He exercised 50,625 stock options on September 14, 2026 at $12.26 per share, received the same number of common shares, then sold 30,327 shares on September 14 and 20,298 shares on September 16, 2026 in open-market transactions.

At what prices were the SNEX shares sold in these Form 4 transactions?

The common shares were sold at weighted-average prices of $68.8322 per share on September 14, 2026 for 30,327 shares and $67.1294 per share on September 16, 2026 for 20,298 shares, as disclosed by the reporting person.

Were Diego Rotsztain’s SNEX trades made under a Rule 10b5-1 plan?

Yes. The filing affirms that the reported transactions were effected under a Rule 10b5-1 trading plan, indicating they followed a pre-established trading program rather than discretionary timing.

How many SNEX stock options did Diego Rotsztain exercise in this filing?

He exercised 50,625 stock options for StoneX Group Inc. common stock on September 14, 2026 at an exercise price of $12.26 per share, receiving the same number of common shares upon exercise.

Does the Form 4 state Diego Rotsztain’s remaining SNEX share holdings after these trades?

No. The non-derivative transaction rows do not report a total number of common shares owned following the transactions, so his remaining common share holdings are not stated in this Form 4.

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

The footnote explains that each reported sale price is an average price. The reporting person states they will provide full information on the number of shares sold at each separate price to the SEC, the issuer, or any stockholder upon request.

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

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Available on EDGAR 09/16/2026 - 06:01 PM Accepted by SEC EDGAR 09/16/2026 - 06:01 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^*

Rotsztain Diego

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Governance/Legal 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		50,625	A	$12.26	85,495	D
Common Stock	09/14/2026		S		30,327	D	$68.8322(1)	55,168	D
Common Stock	09/16/2026		S		20,298	D	$67.1294(1)	34,870	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	$12.26	09/14/2026		M			50,625	12/05/2022	12/05/2026	Common Stock	50,625	$0	506,250	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:

	Diego Rotsztain	09/16/2026
	** 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)