Richard Windes
CIK 1740419 · View on SEC EDGAR ↗
Insider
First SEC filing: June 9, 2026 · Latest: June 9, 2026
On this page
Insider at
Insider transactions
0 buys (P)
1 sells (S)
Net:
$-139,400
+ 8 non-open-market transactions below
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
8 other filings hidden
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| June 5, 2026 | SMBC | S | 2,000 | $69.70 | $139,400 | 5,375 | — | — | 8.4% (price as of 2026-08-19) |
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| Feb. 3, 2022 | SMBC | Stock Option (Right to Buy) | Common Stock (1,500) | $53.82 | Feb. 3, 2032 | 1,500 | Acquired |
| Feb. 10, 2021 | SMBC | Stock Option (Right to Buy) | Common stock (3,000) | $34.91 | Feb. 10, 2031 | 3,000 | Acquired |
| Feb. 18, 2020 | SMBC | Stock Option (Right to buy) | Common Stock (2,000) | $37.40 | Feb. 18, 2030 | 2,000 | Acquired |
| Jan. 4, 2019 | SMBC | Stock Option (Right to Buy) | Common Stock (2,000) | $34.35 | Jan. 4, 2029 | 2,000 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).