SEC Form 4 · accession 0001104659-26-107116
Glass House Brands Inc. · GLAS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Tu
Officer — SVP, Corporate Controller
Period of report
Sep 1, 2026
Accepted (ET)
Sep 11, 2026 · 5:02 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001848731
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Equity SharesF1,F3 | Sep 1, 2026 | M | 5,800 | — | A | 9,618 | D | |
| Equity SharesF1,F4 | Sep 4, 2026 | F | 2,017 | $9.00 | D | 7,601 | D | |
| Equity SharesF1,F5 | Sep 11, 2026 | S | 3,818 | $8.03 | D | 3,783 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F2,F1 | $0.00 | Sep 1, 2026 | M | 5,800 | D | — | — | Equity Shares | 5,800 | 139,271 | D |
Explanation of responses
- F1The Subordinate Voting Shares, Restricted Voting Shares, and/or Limited Voting Shares of Glass House Brands Inc. ("GHBI") (collectively, the "Equity Shares").
- F2The Reporting Person was granted RSU awards covering 34,800 RSUs on September 1, 2024 (the "September RSUs"). 5,800 of the September RSUs vested on September 1, 2026.
- F3Each RSU represents the right to receive, at settlement, one share of GHBI's Equity Shares.
- F4The Equity Shares were sold to satisfy the Reporting Person's tax withholding obligations at a price of $9.00 per share.
- F5The 3,818 Equity Shares sold on September 11, 2026 represent the remaining Equity Shares acquired upon settlement of the 5,800 RSUs that vested on June 1, 2026, after 1,982 Equity Shares were sold on June 3, 2026 to satisfy the Reporting Person's tax withholding obligations.