Welcome to our dedicated page for Stonex Group SEC filings (Ticker: SNEX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
StoneX Group Inc. filings document operating results, governance matters, capital actions and material events for a Nasdaq-listed financial services company. Its 8-K reports include quarterly results releases, annual meeting voting outcomes, stock split disclosure, share repurchase authorization, resale registration activity and legal or arbitration-related matters involving the company and subsidiaries.
StoneX proxy materials describe board elections, auditor ratification, executive compensation and shareholder voting procedures. Registration and prospectus-related filings address common stock resale matters, while periodic and current reports provide formal disclosure around the company’s global brokerage, clearing, payments, market-making and related financial services operations.
StoneX Group Inc. Chief Executive Officer Philip Andrew Smith exercised and sold shares in a routine options transaction. On April 10, 2026, he exercised stock options for 30,000 shares of common stock at an exercise price of $13.34 per share.
He then sold 30,000 shares of common stock in an open-market transaction at an average price of $92.2302 per share, as noted in the filing. After these transactions, he directly holds 514,719 shares of StoneX Group Inc. common stock.
StoneX Group Inc. executive vice chairman Sean Michael O’Connor reported a tax-withholding share disposition, not an open-market sale. On this Form 4, 44,269 shares of Common Stock were withheld at $77.95 per share to cover tax obligations. After this transaction, he holds 1,236,921 shares directly, plus indirect holdings of 424,353 shares through a trust and 2,543,964 shares through Darseaker Limited.
The Vanguard Group filed Amendment No. 6 to its Schedule 13G/A reporting on StoneX Group Inc. The filing states that, following an internal realignment effective January 12, 2026, The Vanguard Group reports zero shares beneficially owned and 0% of the common stock. The amendment explains that certain subsidiaries or business divisions will report ownership separately in reliance on SEC Release No. 34-39538, and that The Vanguard Group no longer is deemed to beneficially own the securities held by those entities.
Director Annabelle G. Bexiga of StoneX Group Inc. reported an open‑market sale of 1,000 shares of common stock on March 13, 2026 at a price of $106.54 per share. After this transaction, she directly holds 16,459 shares of StoneX common stock.
StoneX Group Inc. reported the outcome of a FINRA arbitration with BTIG, LLC over the hiring of former BTIG employees. The panel awarded StoneX Financial approximately $1.0 million on its claim, while awarding BTIG $2.9 million on its claims against StoneX Group and StoneX Financial.
After offsetting these amounts, StoneX Group and StoneX Financial together must pay BTIG approximately $1.8 million. The panel also granted StoneX’s request for declaratory relief that it did not tortiously interfere with BTIG employee contracts and denied BTIG’s requests for punitive damages, injunctive relief, attorney’s fees and sanctions.
SNEX submitted a Form 144 notice reporting proposed securities sales tied to recently vested restricted stock awards. The excerpt lists two vesting events: 256 shares vested on 02/27/2025 and 744 shares vested on 03/01/2025. The form names Fidelity Brokerage Services LLC and references NASDAQ.
StoneX Group Inc. reported the results of its annual shareholder meeting held on March 10, 2026. Shareholders elected ten directors for terms expiring at the 2027 annual meeting, with each nominee receiving over 39 million votes in favor and 5,403,390 broker non-votes.
Shareholders ratified KPMG LLP as the independent registered public accounting firm for the 2026 fiscal year with 47,854,180 votes for, 249,248 against and 24,486 abstentions. A non-binding say-on-pay resolution approving compensation for the Named Executive Officers passed with 38,245,170 votes for and 4,448,707 against.
At a Board meeting held the same day, John Radziwill was elected Chairman of the Board of Directors and Sean M. O'Connor was elected Executive Vice-Chairman of the Board of Directors.
Cooper Diane L. reported acquisition or exercise transactions in this Form 4 filing.
StoneX Group Inc. director Diane L. Cooper received a grant of 1,101 restricted shares of common stock as part of her annual compensation for non-executive directors. The shares were awarded at no cash price and will vest fully on the first anniversary of the grant date.
After this grant, Cooper directly holds 24,825 shares of StoneX Group common stock, reflecting routine equity-based compensation rather than an open-market purchase or sale.
Thamodaran Dhamu R. reported acquisition or exercise transactions in this Form 4 filing.
StoneX Group Inc. director Thamodaran Dhamu R. received a grant of 1,101 restricted shares of common stock as part of the annual compensation for non-executive directors. The award was made under the company’s Restricted Stock Plan at a price of $0.00 per share.
According to the filing, these restricted shares vest fully on the first anniversary of the grant date. After this award, Thamodaran Dhamu R. directly holds a total of 34,936 shares of StoneX Group common stock.