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Richard Windes
Insider
First SEC filing: June 9, 2026 · Latest: June 9, 2026
Insider at
Insider transactions
0 buys (P)
2 sells (S)
Net: $-276,340
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
| 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 Direct | -27.12% | Disposed | 4.1% (price as of 2026-10-02) |
| May 27, 2026 | SMBC | M | 2,000 | $37.40 | $74,800 | 7,375 Direct | +37.21% | Acquired | 94.1% (price as of 2026-10-02) |
| May 27, 2026 | SMBC | M | 2,000 | $37.40 | $74,800 | 0 Direct | -100.00% | Disposed | 94.1% (price as of 2026-10-02) |
| May 21, 2026 | SMBC | S | 2,000 | $68.47 | $136,940 | 5,375 Direct | -27.12% | Disposed | 6.0% (price as of 2026-10-02) |
| May 1, 2026 | SMBC | M | 2,000 | $34.35 | $68,700 | 7,375 Direct | +37.21% | Acquired | 111.3% (price as of 2026-10-02) |
| May 1, 2026 | SMBC | M | 2,000 | $34.35 | $68,700 | 0 Direct | -100.00% | Disposed | 111.3% (price as of 2026-10-02) |
| Feb. 24, 2026 | SMBC | A | 1,050 | · | · | 5,375 Direct | +24.28% | Acquired | (price as of 2026-10-02) |
| Feb. 18, 2025 | SMBC | A | 625 | · | · | 4,325 Direct | +16.89% | Acquired | (price as of 2026-10-02) |
| Feb. 18, 2025 | SMBC | A | 1,500 | · | · | 1,500 Direct | · | Acquired | (price as of 2026-10-02) |
| Feb. 8, 2024 | SMBC | A | 750 | · | · | 3,700 Direct | +25.42% | Acquired | (price as of 2026-10-02) |
| Feb. 8, 2024 | SMBC | A | 2,500 | · | · | 2,500 Direct | · | Acquired | (price as of 2026-10-02) |
| Feb. 21, 2023 | SMBC | A | 750 | · | · | 2,950 Direct | +34.09% | Acquired | (price as of 2026-10-02) |
| Feb. 21, 2023 | SMBC | A | 2,500 | · | · | 2,500 Direct | · | Acquired | (price as of 2026-10-02) |
| Feb. 3, 2022 | SMBC | A | 400 | · | · | 2,200 Direct | +22.22% | Acquired | (price as of 2026-10-02) |
| Feb. 3, 2022 | SMBC | A | 1,500 | · | · | 1,500 Direct | · | Acquired | (price as of 2026-10-02) |
| Feb. 10, 2021 | SMBC | A | 3,000 | · | · | 3,000 Direct | · | Acquired | (price as of 2026-10-02) |
| Feb. 10, 2021 | SMBC | A | 600 | · | · | 1,800 Direct | +50.00% | Acquired | (price as of 2026-10-02) |
| Feb. 18, 2020 | SMBC | A | 2,000 | · | · | 2,000 Direct | · | Acquired | (price as of 2026-10-02) |
| Feb. 18, 2020 | SMBC | A | 600 | · | · | 1,200 Direct | +100.00% | Acquired | (price as of 2026-10-02) |
| Jan. 4, 2019 | SMBC | A | 2,000 | · | · | 2,000 Direct | · | Acquired | (price as of 2026-10-02) |
| Jan. 4, 2019 | SMBC | A | 600 | · | · | 600 Direct | · | Acquired | (price as of 2026-10-02) |
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 |
|---|---|---|---|---|---|---|---|
| May 27, 2026 | SMBC | Stock Option (Right to Buy) | Common Stock | $37.40 | Feb. 18, 2030 | 2,000 | Disposed |
| May 1, 2026 | SMBC | Stock Option (Right to buy) | Common Stock | $34.35 | Jan. 4, 2029 | 2,000 | Disposed |
| Feb. 18, 2025 | SMBC | Stock Option (Right to Buy) | Common Stock | $60.42 | Feb. 18, 2035 | 1,500 | Acquired |
| Feb. 8, 2024 | SMBC | Stock Option (Right to Buy) | Common Stock | $40.82 | Feb. 8, 2034 | 2,500 | Acquired |
| Feb. 21, 2023 | SMBC | Stock Option (Right to Buy) | Common Stock | $46.94 | Feb. 21, 2033 | 2,500 | Acquired |
| Feb. 3, 2022 | SMBC | Stock Option (Right to Buy) | Common Stock | $53.82 | Feb. 3, 2032 | 1,500 | Acquired |
| Feb. 10, 2021 | SMBC | Stock Option (Right to Buy) | Common stock | $34.91 | Feb. 10, 2031 | 3,000 | Acquired |
| Feb. 18, 2020 | SMBC | Stock Option (Right to buy) | Common Stock | $37.40 | Feb. 18, 2030 | 2,000 | Acquired |
| Jan. 4, 2019 | SMBC | Stock Option (Right to Buy) | Common Stock | $34.35 | Jan. 4, 2029 | 2,000 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).