Westwood CIO reports tax-withholding share disposition

WESTWOOD HOLDINGS GROUP INC executive Adrian Helfert reported a routine tax-related share disposition.

Rhea-AI Filing Summary

WESTWOOD HOLDINGS GROUP INC executive Adrian Helfert reported a routine tax-related share disposition. On February 23, 2026, 10,772 shares of common stock were delivered at $16.22 per share to satisfy tax obligations. After this transaction, he directly holds 162,751 shares of common stock.

Insider Trade Summary

Exercise Price or Tax Liability: 10,772 shares

Exercise Price or Tax Liability 1 txn

Insider Helfert Adrian

Role CIO, Multi-Asset Inv.

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	common stock	10,772	$16.22	$175K

Holdings After Transaction: common stock — 162,751 shares (Direct)

FAQ

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

What did Westwood (WHG) executive Adrian Helfert report in this Form 4/A?

Adrian Helfert reported a tax-withholding share disposition related to equity compensation. On February 23, 2026, 10,772 Westwood common shares were delivered to cover tax liabilities, rather than sold in the open market.

How many Westwood (WHG) shares were involved in Adrian Helfert’s tax withholding?

The filing shows 10,772 common shares of Westwood were delivered for tax withholding. The transaction used a reference price of $16.22 per share to determine the value applied toward the tax obligation.

How many Westwood (WHG) shares does Adrian Helfert hold after this transaction?

After the reported tax-withholding disposition, Adrian Helfert directly holds 162,751 shares of Westwood common stock. This figure reflects his remaining direct ownership following the 10,772-share delivery for tax purposes.

Was Adrian Helfert’s Westwood (WHG) transaction an open-market sale?

No. The Form 4/A characterizes the event as a tax-withholding disposition, not an open-market sale. Shares were delivered to satisfy tax liabilities associated with equity compensation, rather than sold to outside investors.

What does transaction code F mean in the Westwood (WHG) Form 4/A?

Transaction code F indicates payment of an exercise price or tax liability by delivering securities. In this case, 10,772 Westwood common shares were used to cover tax obligations, consistent with routine equity compensation mechanics.

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

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Accepted by SEC EDGAR 03/16/2026 - 04:27 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).

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^*

Helfert Adrian

(Last) (First) (Middle)

200 CRESCENT COURT

STE 1200

(Street)

DALLAS TX 75201

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
WESTWOOD HOLDINGS GROUP INC [ WHG ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CIO, Multi-Asset Inv.

3. Date of Earliest Transaction (Month/Day/Year)
02/23/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)
03/13/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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	02/23/2026		F		10,772	D	$16.22	162,751	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

Explanation of Responses:

Remarks:

This Form 4/A is being filed solely to correct the transaction code previously reported for the reported disposition. The 'Disposed of' transaction was incorrectly coded as 'S'. The correct transaction code is 'F' to reflect shares withheld to satisfy tax withholding obligations.

	Jonathan Richard Nahhat, as attorney-in-fact	03/16/2026
	** 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.