4,000-share Form 144 filing for ASO (NASDAQ: ASO) lists vested awards

Rhea-AI Filing Summary

ASO submitted a Form 144 disclosing proposed broker-assisted sales. The filing lists 4,000 shares and an aggregate amount of $240,000.00, with Fidelity Brokerage Services LLC named as broker and CUSIP 64383459 shown. The filing itemizes previously vested restricted stock awards: 2,099, 865, and 1,036 shares vesting on 06/02/2021, 05/31/2023, and 06/03/2024 respectively.

Insights

Securities Compliance Analyst

Form 144 notifies the SEC of a planned resale through a broker.

Form 144 is a procedural notice for resale of restricted/controlled securities; it does not itself execute a sale. The filing names Fidelity Brokerage Services LLC and provides identifying data such as CUSIP 64383459.

The listed vested grant amounts (2,099; 865; 1,036) and the 4,000-share/ $240,000 figure indicate the source and scale of the shares intended for resale. Subsequent transaction reports (Form 4 or broker records) would show consummation and final quantities.

Key Figures

Shares listed for resale: 4,000 shares Aggregate amount: $240,000.00 CUSIP: 64383459 +3 more

6 metrics

Shares listed for resale 4,000 shares Form 144 listing

Aggregate amount $240,000.00 Form 144 listing

CUSIP 64383459 Security identifier on the filing

Vested award - 06/02/2021 2,099 shares Restricted Stock Vesting 06/02/2021

Vested award - 05/31/2023 865 shares Restricted Stock Vesting 05/31/2023

Vested award - 06/03/2024 1,036 shares Restricted Stock Vesting 06/03/2024

Key Terms

Form 144, Restricted Stock Vesting, CUSIP

3 terms

Form 144 regulatory

"Securities To Be Sold / Securities Sold During The Past 3 Months"

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 financial

"Restricted Stock Vesting | Issuer | Compensation"

Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

CUSIP market

"64383459 | 04/16/2026 | NASDAQ"

A CUSIP is a nine-character alphanumeric code that uniquely identifies a U.S. or Canadian financial security—such as a stock, bond, or fund share—like a Social Security number for an investment. It matters to investors because brokers, exchanges and record-keepers use the CUSIP to match trades, track ownership, settle transactions and pull accurate records, reducing errors and ensuring money and securities go to the right place.

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	Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917	4000	240000.00	64383459	04/16/2026	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	06/02/2021	Restricted Stock Vesting	Issuer			2099	06/02/2021	Compensation
Common	05/31/2023	Restricted Stock Vesting	Issuer			865	05/31/2023	Compensation
Common	06/03/2024	Restricted Stock Vesting	Issuer			1036	06/03/2024	Compensation

* 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 ASO's Form 144 disclose?

It discloses a planned resale via a broker. The filing lists 4,000 shares and $240,000.00, names Fidelity Brokerage Services LLC, and shows CUSIP 64383459 along with vested restricted grants of 2,099; 865; 1,036 shares.

Does Form 144 mean shares have been sold for ASO?

No; Form 144 notifies intent to sell, not completion. It permits a broker-assisted resale under Rule 144; actual sales would be reflected later in trade reports or Form 4 filings if applicable.

Who is the broker named on the ASO Form 144?

Fidelity Brokerage Services LLC is listed as the broker of record at an address in Smithfield, RI. The filing pairs this broker with the 4,000-share / $240,000 figure and CUSIP 64383459.

Which vested awards are referenced in the filing?

Three restricted stock vesting events are listed. Vesting entries show 2,099 shares (06/02/2021), 865 shares (05/31/2023), and 1,036 shares (06/03/2024) described as compensation-related vesting.

Will this Form 144 cause immediate dilution for ASO shareholders?

Not directly; Form 144 reports resale of existing restricted shares. These are previously granted/vested shares; dilution occurred at grant/issuance, and the filing describes resale intent rather than new issuance.