AEIS Form 144: Morgan Stanley lists 10,225 restricted shares

Morgan Stanley Smith Barney LLC Executive Financial Services filed a Form 144 reporting a proposed sale of 10,225 restricted common shares of AEIS.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services filed a Form 144 reporting a proposed sale of 10,225 restricted common shares of AEIS. The filing lists four restricted‑stock grants by grant date and quantity: 2,655 (05/09/2023), 2,257 (05/05/2024), 3,500 (04/30/2021), and 1,813 (04/30/2022).

Insights

Securities Counsel

Form 144 filed for proposed resale of restricted AEIS shares.

The filing lists a proposed sale of 10,225 restricted common shares through Morgan Stanley Smith Barney LLC Executive Financial Services, broken down by grant dates and quantities as provided. The notice reflects an intention to sell under applicable resale rules.

Timing and specific sale mechanics are not detailed in the excerpt; subsequent Form 4 or broker disclosures may show execution details.

Equity Capital Markets Analyst

Transaction is an administrative resale notice, not a corporate financing event.

The document lists four restricted‑stock lots totaling 10,225 shares with individual grant dates: 05/09/2023, 05/05/2024, 04/30/2021, and 04/30/2022. It identifies the selling broker as Morgan Stanley Smith Barney LLC Executive Financial Services.

Cash‑flow treatment and execution method are not provided in the excerpt; sale execution will depend on broker and holder instructions.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the AEIS Form 144 filed by Morgan Stanley indicate?

It reports a proposed resale of 10,225 restricted common shares of AEIS. The filing lists four restricted‑stock grant dates and quantities totaling the same number, signaling a broker‑mediated resale notice.

Which restricted stock lots are listed in the AEIS Form 144?

The filing lists four restricted stock grants: 3,500 (04/30/2021), 1,813 (04/30/2022), 2,655 (05/09/2023), and 2,257 (05/05/2024). Each lot is shown with its grant date and share count.

Who is the broker handling the proposed AEIS sale?

The notice names Morgan Stanley Smith Barney LLC Executive Financial Services as the broker. The excerpt shows that broker as the filing intermediary for the proposed resale of the listed restricted shares.

Does the Form 144 state when the AEIS shares will be sold?

The excerpt does not specify sale execution dates or methods. It lists the proposed resale quantities and the selling broker, but detailed timing or sale mechanics are not provided in the excerpt.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/04/2026 - 04:06 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001308225
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	ADVANCED ENERGY INDUSTRIES, INC.
SEC File Number	000-26966
Address of Issuer	1595 WYNKOOP STREET, SUITE 800 DENVER COLORADO 80202
Phone	(970) 407-6626
Name of Person for Whose Account the Securities are To Be Sold	JOHN ADAM ROUSH
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	10225	3308630.04	37750990	03/04/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/09/2023	Restricted Stock	ISSUER			2655	05/09/2023	Not Applicable
Common	05/05/2024	Restricted Stock	ISSUER			2257	05/05/2024	Not Applicable
Common	04/30/2021	Restricted Stock	ISSUER			3500	04/30/2021	Not Applicable
Common	04/30/2022	Restricted Stock	ISSUER			1813	04/30/2022	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	03/04/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	12/03/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ John A Roush
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)