4/A: StoneX Legal Officer Executes Stock Option Exercise

Chief Governance and Legal Officer Diego Rotsztain exercised 33,750 stock options and sold a portion of the resulting shares.

Summary

• Diego Rotsztain, Chief Governance/Legal Officer of StoneX Group Inc., exercised 33,750 stock options at a strike price of $18.39.
• Following the exercise, the reporting person sold a total of 33,750 shares across two transactions on May 18 and May 20, 2026.
• The sales were executed at average prices of $111.4836 and $112.7862 per share.
• This filing serves as an amendment to correct a scrivener's error regarding the exercisable and expiration dates of the derivative securities.

Sentiment

Score: 5

Explanation: StockSavvy.ai views this as a neutral administrative filing reflecting routine executive compensation management and a minor clerical correction.

Positives

• The executive maintains a remaining beneficial ownership of 23,247 shares of common stock.
• The transaction was conducted pursuant to a pre-arranged Rule 10b5-1(c) trading plan, indicating systematic rather than reactive selling.

Negatives

• The executive reduced their direct holdings of common stock through the sale of 33,750 shares.
• The filing was necessitated by a clerical error in the original reporting of derivative security dates.

Risks

• Market volatility could impact the value of remaining holdings.
• Future reliance on Rule 10b5-1 plans is subject to regulatory compliance and potential changes in trading strategy.

Future Outlook

No specific forward-looking guidance regarding company operations was provided in this disclosure.

Management Comments

• The reporting person noted that the amendment was filed to correct a scrivener's error regarding the Date Exercisable and Expiration Date.

Industry Context

StockSavvy.ai notes that insider selling via 10b5-1 plans is a standard practice for executives to manage personal liquidity and diversify portfolios, and does not necessarily reflect a lack of confidence in the firm's long-term prospects.

Comparison to Industry Standards

• The use of Rule 10b5-1 trading plans is consistent with best practices for corporate officers at publicly traded financial services firms to avoid allegations of insider trading.
• The volume of shares sold relative to the total holdings is typical for executive compensation realization.

Corporate Governance

Stakeholder Impact

• Shareholders should view this as a standard liquidity event for a senior executive.

Next Steps

• The reporting person will continue to hold 23,247 shares of common stock.

Key Dates

Keywords

StoneX, SNEX, Insider Trading, Stock Options, Corporate Governance, SEC Form 4