Richard Windes
CIK 1740419 · EVP-CHIEF LENDING OFFICER · last filed 2026-06-09
Richard Windes is an EVP-CHIEF LENDING OFFICER who has filed 12 SEC Form 4 insider transactions across 1 company since 2019. The most recent filing shows the insider sold $139.4K of SMBC on Jun 9, 2026. Across all open-market trades the lifetime net is −$276.3K, making them a net seller over the disclosed history. Current disclosed insider exposure totals $547.0K across reported positions.
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
$547.0K
1
12
-$276.3K
Holdings By Company
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| SMBC | EVP-CHIEF LENDING OFFICER | 7,561 | $72.34 | $547.0K | -$276.3K | 12 | 2026-06-09 |
Recent Filings
12 filings| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2026-06-09 | SMBC | Sell (S) | −2,000 | -$139.4K | EDGAR |
| 2026-05-29 | SMBC | Exer (M) | +2,000 | $74.8K | EDGAR |
| 2026-05-22 | SMBC | Sell (S) | −2,000 | -$136.9K | EDGAR |
| 2026-05-05 | SMBC | Exer (M) | +2,000 | $68.7K | EDGAR |
| 2026-02-26 | SMBC | Grant (A) | +1,050 | $0 | EDGAR |
| 2025-02-20 | SMBC | Grant (A) | +625 | $0 | EDGAR |
| 2024-02-12 | SMBC | Grant (A) | +750 | $0 | EDGAR |
| 2023-02-23 | SMBC | Grant (A) | +750 | $0 | EDGAR |
| 2022-02-07 | SMBC | Grant (A) | +400 | $0 | EDGAR |
| 2021-02-12 | SMBC | Grant (A) | +600 | $0 | EDGAR |