Form 144: Morgan Stanley Smith Barney (AX) restricted stock notice

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services submitted a Form 144 notice relating to Common stock tied to restricted stock transactions. The filing lists 1,653 shares in the securities row and individually shows 487 shares dated 09/15/2025, 726 shares dated 09/15/2025, and 440 shares dated 09/23/2025.

Key Figures

Securities row shares: 1,653 shares Restricted stock entry: 487 shares Restricted stock entry: 726 shares +1 more

4 metrics

Securities row shares 1,653 shares listed in the securities information row

Restricted stock entry 487 shares restricted stock dated <date>09/15/2025</date>

Restricted stock entry 726 shares restricted stock dated <date>09/15/2025</date>

Restricted stock entry 440 shares restricted stock dated <date>09/23/2025</date>

Key Terms

Restricted Stock, Form 144, Issuer

3 terms

Restricted Stock financial

"Common | 09/15/2025 | Restricted Stock | Issuer"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

Form 144 regulatory

"CONTENT METADATA: "form_type": "144""

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.

Issuer regulatory

"Restricted Stock | Issuer | | | 487"

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	1653	138469.66	56884635	05/19/2026	NYSE

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	09/15/2025	Restricted Stock	Issuer			487	09/15/2025	Not Applicable
Common	09/15/2025	Restricted Stock	Issuer			726	09/15/2025	Not Applicable
Common	09/23/2025	Restricted Stock	Issuer			440	09/23/2025	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 the Form 144 for AX disclose about the securities?

It discloses restricted common stock items totaling listed entries. The filing shows line items including 487 shares (09/15/2025), 726 shares (09/15/2025) and 440 shares (09/23/2025), and a securities row containing 1,653.

Who is the filing party named on the AX Form 144?

The filing identifies Morgan Stanley Smith Barney LLC Executive Financial Services. The filer address shown is 1 New York Plaza, 8th Floor, New York, NY 10004 in the securities information block.

What dates appear for the restricted stock entries in the filing?

The restricted stock entries are dated in September 2025. Specifically, the filing lists 09/15/2025 for two restricted-stock line items and 09/23/2025 for one restricted-stock line item.

Does the Form 144 show an exchange or trading venue for the securities?

Yes — an exchange code is included in the securities row. The filing's securities line shows NYSE alongside the other numeric and date fields in the securities information.