SPFI (NASDAQ: SPFI) holder files to sell 160,000 common shares via J.P. Morgan

Rhea-AI Filing Summary

The issuer with symbol SPFI has a shareholder filing to potentially sell up to 160,000 shares of common stock through J.P. Morgan Securities LLC on the NASDAQ. The proposed sale has an aggregate market value of $7,276,800, with 19,145,754 shares of common stock outstanding.

The shares to be sold were originally acquired by James C. Henry in a private pre-IPO investment on June 27, 2011, when he acquired 1,690,000 shares from the issuer for cash. The filing notes no reported sales of these securities during the past three months.

Key Figures

Shares to be sold: 160000 shares Aggregate market value: $7,276,800 Shares outstanding: 19,145,754 shares +3 more

6 metrics

Shares to be sold 160000 shares Maximum number of SPFI common shares proposed for sale

Aggregate market value $7,276,800 Estimated market value of the 160,000 shares to be sold

Shares outstanding 19,145,754 shares Total SPFI common shares outstanding

Originally acquired shares 1,690,000 shares Shares acquired by James C. Henry on June 27, 2011

Acquisition date 06/27/2011 Date of private pre-IPO investment by James C. Henry

Proposed sale date 08/03/2026 Date associated with proposed NASDAQ sale of shares

Key Terms

Form 144, private pre-IPO investment, Securities To Be Sold

3 terms

Form 144 regulatory

"Filer Information | | | 144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

private pre-IPO investment financial

"Private pre-IPO investment | Acquired in James C. Henry's name"

Securities To Be Sold regulatory

"144: Securities To Be Sold Common Stock | 06/27/2011"

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Available on EDGAR 08/03/2026 - 04:04 PM Accepted by SEC EDGAR 08/03/2026 - 04:04 PM Learn about SEC filing dates

FAQ

What does the Form 144 filing for SPFI disclose?

The Form 144 discloses that a shareholder of SPFI may sell up to 160,000 shares of common stock through J.P. Morgan Securities LLC on the NASDAQ, with an indicated market value of $7,276,800.

How many SPFI shares are proposed to be sold and what is their value?

The filing contemplates the sale of 160,000 shares of SPFI common stock. These shares have an aggregate market value of $7,276,800, based on the pricing information used in the Form 144 disclosure.

Who acquired the SPFI shares and when were they originally obtained?

The shares were acquired by James C. Henry on June 27, 2011. They were obtained in a private pre-IPO investment directly from the issuer, with 1,690,000 shares purchased for cash at that time.

How many SPFI shares are outstanding according to the Form 144?

According to the disclosure, there are 19,145,754 shares of SPFI common stock outstanding. This figure provides context for the potential sale of 160,000 shares, which represents only a portion of the total outstanding stock.

Has the SPFI shareholder sold any of these shares in the past three months?

The Form 144 indicates no securities sold during the past three months by this shareholder. This suggests the contemplated sale of 160,000 shares would be a new transaction within the recent period.

Through which broker will the SPFI shares potentially be sold?

The contemplated sale of SPFI common stock is to be executed through J.P. Morgan Securities LLC, located at 270 Park Avenue, 10th Floor, New York, NY 10017, with trading on the NASDAQ market.

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

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
Common Stock	J.P. Morgan Securities LLC 270 Park Avenue - 10th Floor New York NY 10017	160000	7276800	19145754	08/03/2026	NASDAQ

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 *
Common Stock	06/27/2011	Private pre-IPO investment	Acquired in James C. Henry's name on June 27, 2011. Acquired shares from Issuer.			1690000	06/27/2011	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

Nothing to Report

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)