Broker files Form 144 for AMBA: scheduled restricted stock vesting events (AMBA)

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Form 144 notice relating to proposed sales of Common stock of the issuer (symbol AMBA). The filing lists multiple restricted stock vesting events under a registered plan with specific vesting dates and share counts.

Insights

Equity Capital Markets Specialist

Routine Rule 144 notice listing planned restricted‑stock vesting items.

The filing lists a series of Restricted Stock Vesting Under a Registered Plan entries with specific vesting dates and associated share counts. This is a regulatory notice of intended sales rather than a completed market transaction.

Timing and cash‑flow treatment are not described in the excerpt; subsequent filings or broker reports would show execution details.

Key Figures

Broker reference number: 9856 Numeric field: 660946.32 Numeric field: 43,868,185 +3 more

6 metrics

Broker reference number 9856 appears in filer header line

Numeric field 660946.32 appears in filer header line

Numeric field 43,868,185 appears in filer header line

Vesting example 1,278 shares Vesting date <date>12/15/2018</date> listed as "Restricted Stock Vesting Under a Registered Plan"

Vesting example 1,279 shares Vesting date <date>03/15/2019</date> listed as "Restricted Stock Vesting Under a Registered Plan"

Vesting example 908 shares Vesting date <date>09/15/2019</date> listed as "Restricted Stock Vesting Under a Registered Plan"

Key Terms

Form 144, Restricted Stock Vesting Under a Registered Plan, Common, NASDAQ

4 terms

Form 144 regulatory

"Line: "144: Securities To Be Sold""

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Restricted Stock Vesting Under a Registered Plan financial

"Repeated line: "Restricted Stock Vesting Under a Registered Plan""

Common financial

"Header: "Common | Morgan Stanley Smith Barney LLC""

NASDAQ market

"Header shows exchange: "NASDAQ""

The Nasdaq is a stock exchange where many companies' shares are bought and sold, functioning much like a marketplace for investments. It matters to investors because it provides a platform to buy and sell ownership stakes in companies, helping them track the value of those companies and make informed decisions. As one of the largest and most technology-focused markets, it also reflects trends and developments in the business world.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	9856	660946.32	43868185	06/12/2026	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	12/15/2018	Restricted Stock Vesting Under a Registered Plan	Issuer			1278	12/15/2018	Not Applicable
Common	03/15/2019	Restricted Stock Vesting Under a Registered Plan	Issuer			1279	03/15/2019	Not Applicable
Common	06/15/2019	Restricted Stock Vesting Under a Registered Plan	Issuer			1278	06/15/2019	Not Applicable
Common	09/15/2019	Restricted Stock Vesting Under a Registered Plan	Issuer			1278	09/15/2019	Not Applicable
Common	09/15/2019	Restricted Stock Vesting Under a Registered Plan	Issuer			908	09/15/2019	Not Applicable
Common	12/15/2019	Restricted Stock Vesting Under a Registered Plan	Issuer			1279	12/15/2019	Not Applicable
Common	03/15/2020	Restricted Stock Vesting Under a Registered Plan	Issuer			1278	03/15/2020	Not Applicable
Common	06/15/2020	Restricted Stock Vesting Under a Registered Plan	Issuer			1278	06/15/2020	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

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does this Form 144 for AMBA indicate?

It indicates a proposed sale of Common stock under Rule 144 by a registered broker. The filing lists scheduled restricted stock vesting events and share counts tied to those vesting dates, serving as a notice of intent to sell rather than proof of completed sales.

Who filed the Form 144 shown in the excerpt for AMBA?

The filer is Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza. The filing identifies the broker organization as the submitting intermediary for the proposed sales described.

What vesting dates and share counts are listed in the filing?

The excerpt lists multiple vesting dates such as 12/15/2018, 03/15/2019, 06/15/2019, 09/15/2019, 12/15/2019, 03/15/2020, and 06/15/2020 with associated counts including 1,278, 1,279, 908 shown beside those dates.

Does the Form 144 show completed sales or proceeds received?

This excerpt serves as a notice of proposed sales and does not show completed transactions or proceeds. It lists scheduled restricted stock vesting entries; the excerpt does not provide executed sale prices or cash‑flow details.

Is the filing specific to a particular market or exchange?

The excerpt includes a reference to NASDAQ in the securities line. The securities type listed is Common stock, tied to the issuer symbol provided in metadata as AMBA.