Focus Partners Wealth LLC to sell preferred shares (NYSE: SPE) in Form 144 filing

Rhea-AI Filing Summary

Focus Partners Wealth LLC reported proposed sales of Preferred shares in a Form 144 filing. The filing lists multiple dated transactions with share counts and proceeds, including 15,427 shares on 03/06/2026 and 5,652 shares on 02/25/2026.

The entries show cash transactions and open-market activity across 01/22/2026 through 03/06/2026

Insights

Securities Compliance Analyst

Routine Form 144 notice of proposed resale activity by a named holder.

The filing lists multiple proposed dispositions of Preferred shares attributed to Focus Partners Wealth LLC, with dated entries and cash proceeds specified for each sale. Form 144s are notices required when restricted or control securities are proposed to be sold.

These entries are administrative disclosures; the timing and completion of sales depend on market execution and regulatory delivery requirements. Subsequent filings may report actual sales or provide additional settlement details.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Preferred	Charles Schwab Corp 3000 Schwab Way Westlake TX 76262	769	19101.00	2235775	03/25/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Preferred	10/26/2023	Open Market Purchase	Open Market			3949	10/26/2023	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Focus Partners Wealth LLC One Boston Place, 11th Floor 201 Washington St Boston MA 02108	Special Opportunity Fund Preferred	01/22/2026	353	8871.24
Focus Partners Wealth LLC One Boston Place, 11th Floor, 201 Washington St Boston MA 02108	Special Opportunity Fund Preferred	02/20/2026	155	3890.50
Focus Partners Wealth LLC One Boston Place, 11th Floor, 201 Washington St Boston MA 02108	Special Opportunity Fund Preferred	02/25/2026	5652	141808.68
Focus Partners Wealth LLC One Boston Place, 11th Floor, 201 Washington St Boston MA 02108	Special Opportunity Fund Preferred	03/06/2026	15427	389377.48

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 filed by Focus Partners Wealth LLC (SPE) show?

It shows proposed sales of Preferred shares by Focus Partners Wealth LLC, listing dates, share counts, and cash proceeds for each entry. The excerpt includes transactions dated 01/22/2026 through 03/06/2026.

How many shares were listed on 03/06/2026 in the filing?

The filing lists 15,427 shares on 03/06/2026 with an associated cash value of $389,377.48 as shown in the excerpt.

Are these sales reported as open-market or another method?

The excerpt includes an Open Market entry and lists other transactions as Cash sales. Specific methods per line are shown, for example an Open Market purchase dated 10/26/2023 and cash dispositions in 2026.

Which holder is the seller in the provided entries?

The seller identified in the excerpt is Focus Partners Wealth LLC, listed with an address at One Boston Place, and labeled as the Special Opportunity Fund in the transaction rows.

Does the filing indicate completion of the sales listed?

The Form 144 entries report proposed or recent transactions with dates and amounts; the excerpt does not state final settlement confirmations or post-sale holdings.