Form 4: StoneX CEO Philip Smith's Equity Transactions

StoneX Group Inc. CEO Philip Smith reported the acquisition of restricted shares and the disposition of common stock for tax purposes on December 15, 2025.

Summary

• Chief Executive Officer Philip Andrew Smith acquired 13,400 restricted shares of common stock under the Company's Executive Performance Plan.
• An additional 11,282 restricted shares of common stock were acquired by Philip Andrew Smith, pursuant to the remuneration policy agreed upon by StoneX Financial Ltd.
• Both sets of restricted shares (totaling 24,682 shares) are scheduled to vest equally on the anniversary in years one, two, and three.
• A disposition of 7,166 shares of common stock occurred at a price of $97.43 per share, likely to cover tax withholding obligations related to the restricted share awards.
• Following these transactions, Philip Andrew Smith directly beneficially owns 345,270 shares of common stock.

Sentiment

Score: 6

Explanation: The filing reports routine executive compensation in the form of restricted stock awards and a corresponding tax-related share disposition. This is a standard practice and generally viewed as neutral to slightly positive as it aligns management incentives with long-term shareholder value.

Positives

• CEO Philip Andrew Smith received 24,682 restricted shares as part of executive compensation and remuneration, aligning management's interests with long-term company performance.
• The vesting schedule over three years encourages sustained executive focus on the company's future success.

Negatives

• A disposition of 7,166 shares of common stock occurred, which is a reduction in direct ownership, though it is a standard practice for covering tax obligations on restricted stock awards.

Related Party Transactions

• Acquisition of restricted shares by CEO Philip Andrew Smith as part of the Company's Executive Performance Plan and StoneX Financial Ltd.'s remuneration policy, representing compensation from the issuer.

Stakeholder Impact

• Shareholders: Management's interests are further aligned with long-term shareholder value through the multi-year vesting of restricted stock awards.
• Employees: Reflects standard executive compensation practices within the company.

Next Steps

• Restricted shares will vest equally on the anniversary in years one, two, and three.

Key Dates

Recommendation

This Form 4 filing details routine executive compensation and tax-related share dispositions, which are standard corporate events and do not provide new fundamental information to warrant a change in investment recommendation.

Keywords

StoneX Group, SNEX, Form 4, insider transaction, CEO, executive compensation, restricted shares, stock disposition