StoneX Group Inc
For the period ended Dec 31, 2023. Filed Feb 6, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Dec 31, 2023 · Filed Feb 6, 2024
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Item 5. Other Information
During the three months ended December 31, 2023, none of our directors or officers (as defined in Rule 16a-1(f) of the Exchange Act) adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408 of Regulation S-K, except as described below.
| Name and Title | Type of Plan | Adoption Date | Duration or End Date | Aggregate Number of Securities to be Sold | Description of Trading Arrangement |
|---|---|---|---|---|---|
| Xuong Nguyen - Chief Operating Officer | Rule 10b5-1 trading arrangement | 12/4/2023 | 11/29/2024 | 60,000 | Exercise of stock options and sale of the underlying shares |
| Sean O’Connor - Chief Executive Officer | Rule 10b5-1 trading arrangement | 12/13/2023 | 12/31/2024 | 112,500 | Sales of shares |
| Philip Smith - Chief Executive Officer - EMEA | Rule 10b5-1 trading arrangement | 12/21/2023 | 11/8/2024 | 22,500 | Sales of shares |
| Diego Rotsztain - Chief Governance and Legal Officer | Rule 10b5-1 trading arrangement | 12/21/2023 | 12/31/2024 | 5,677 | Sales of shares |
Disclosure Pursuant to Item 5.02 of Current Report on Form 8-K - Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On December 5, 2023, Scott J. Branch, a member of the Company’s board of directors, advised the Company that he would not stand for re-election as a director of the Company at the 2024 annual meeting of stockholders of the Company to be held on February 27, 2024 (the “2024 Annual Meeting”). At the conclusion of Mr. Branch’s current term as a director at the 2024 Annual Meeting, he will retire and resign as a director of the Company. Mr. Branch’s decision to not stand for re-election was not the result of any disagreement with the Company or its board of directors or management. Disclosure of Mr. Branch’s decision to not stand for re-election to the board of directors is being made in this Quarterly Report on Form 10-Q in lieu of disclosure under Item 5.02(b) of Form 8-K.
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