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Securitize Corp.·4

Jul 6, 8:42 PM ET

Flores Junco Jose Francisco 4

4 · Securitize Corp. · Filed Jul 6, 2026

Research Summary

AI-generated summary of this filing

Updated

Securitize (SECZ) CFO Jose Flores Junco Receives Awards

What Happened

  • Jose Francisco Flores Junco, Chief Financial Officer of Securitize Corp. (SECZ), received multiple awards on July 1, 2026 in connection with the closing of a business combination. The filing shows two direct Common Share grants (464 and 19,864 shares) plus four derivative awards (88,878; 88,877; 43,995; and 222,196) for a combined potential total of 464,274 shares. No per-share prices are reported (N/A) because these shares/options were issued in exchange for Securitize, Inc. securities as part of the merger.

Key Details

  • Transaction date: July 1, 2026 (Form 4 filed July 6, 2026; no late‑filing flag shown in the submission).
  • Consideration/prices: N/A — awards issued in exchange for pre-merger Securitize, Inc. securities under the Business Combination Agreement dated Oct 27, 2025.
  • Total reported: 20,328 common shares received outright and 443,946 shares reported as derivative awards (total potential interest = 464,274).
  • Earnout: The reported totals include up to 20 restricted Earnout Shares tied to VWAP targets ($15, $20, $25) that vest in thirds if price targets are met between 90 days after closing and July 1, 2031.
  • Vesting/option detail (from footnotes): several option tranches were converted — examples include 38,884 options vested/exercisable with 49,994 unvested (vesting 5,555 shares per quarter); 83,323 vested with 5,554 unvested (vesting 5,555/quarter); 69,436 vested with 152,760 unvested (vesting 13,887/quarter); and other option tranches fully vested.
  • Shares owned after transaction: not stated in the provided summary of the filing.
  • Filing exhibits/remarks: Exhibit 24 — Power of Attorney.

Context

  • These entries are awards/grants (transaction code A) tied to the merger—this is not an open‑market purchase or sale. Many entries are derivative instruments (options/earnout) converted or reissued in connection with the Mergers; they do not necessarily reflect immediate stock sales or purchases.
  • Earnout shares depend on future stock-price targets and have time/price conditions; unvested options have scheduled quarterly vesting per the footnotes.

Insider Transaction Report

Form 4
Period: 2026-07-01
Securitize Corp.SECZ
Flores Junco Jose Francisco
Chief Financial Officer
Transactions
  • Award

    Common Shares

    [F1][F2]
    2026-07-01+464→ 464 total
  • Award

    Common Shares

    [F3]
    2026-07-01+19,864→ 20,328 total
  • Award

    Stock Options (Right to Buy)

    [F4][F5]
    2026-07-01+88,878→ 88,878 total
    Exercise: $0.32Exp: 2034-07-25→ Common Shares (88,878 underlying)
  • Award

    Stock Options (Right to Buy)

    [F4][F6]
    2026-07-01+88,877→ 88,877 total
    Exercise: $0.39Exp: 2032-07-17→ Common Shares (88,877 underlying)
  • Award

    Stock Options (Right to Buy)

    [F4][F7]
    2026-07-01+43,995→ 43,995 total
    Exercise: $0.38Exp: 2031-07-13→ Common Shares (43,995 underlying)
  • Award

    Stock Options (Right to Buy)

    [F4][F8]
    2026-07-01+222,196→ 222,197 total
    Exercise: $0.59Exp: 2035-02-28→ Common Shares (222,196 underlying)
Footnotes (8)
  • [F1]Represents common shares of Securitize Corp. ("Issuer", and such shares, "Common Shares") received in exchange for shares of common stock of Securitize, Inc. ("Securitize", and such shares, "Securitize Common Shares") in connection with the mergers (the "Mergers") contemplated by that certain business combination agreement, dated as of October 27, 2025, by and between Issuer, Securitize, Cantor Equity Partners II, Inc. and certain other parties thereto (the "Business Combination Agreement"). On July 1, 2026, Issuer Changed its name to Securitize Corp from Securitize Holdings, Inc.
  • [F2]The Mergers were consummated on July 1, 2026. The number reported also includes 20 restricted Common Shares that may become earned and delivered pursuant to the earnout provided for in the Business Combination Agreement (the "Earnout Shares"). The Earnout Shares will generally be earned one-third on the date that the 20-day volume-weighted average price per Common Share attains $15.00, $20.00 and $25.00 over a 30-trading day period during the period beginning 90-days after the closing of the Mergers and ending on July 1, 2031 (the "Earnout").
  • [F3]Represents Earnout Shares that may become earned and delivered pursuant to the Earnout in respect of the reporting person's options to acquire shares of Securitize Common Stock held immediately prior to the Mergers.
  • [F4]Represents options to acquire Common Shares received by the reporting person in exchange for options to acquire shares of Securitize Common Stock in connection with the Mergers.
  • [F5]As of July 1, 2026, 38,884 options were vested and exercisable, with 49,994 of these options remaining unvested. These unvested options will vest as to 5,555 Common Shares each quarter.
  • [F6]As of July 1, 2026, 83,323 options were vested and exercisable, with 5,554 of these options remaining unvested. These unvested options will vest as to 5,555 Common Shares each quarter.
  • [F7]As of July 1, 2026, these options were vested and exercisable.
  • [F8]As of July 1, 2026, 69,436 options were vested and exercisable, with 152,760 of these options remaining unvested. These unvested options will vest as to 13,887 Common Shares each quarter.
Signature
/s/ Jerome Roche, attorney-in-fact for Francisco Flores|2026-07-06

Documents

2 files