Morgan Stanley (DIOD) files Form 144 listing 2,760 restricted shares

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC filed a Form 144 reporting intent to sell restricted common stock of DIOD. The notice lists four restricted stock lots dated 02/01/2023, 02/24/2023, and two on 07/01/2023, with quantities of 927, 756, 510, and 567 shares respectively.

The filing identifies these securities as restricted stock and shows the filer’s broker as Morgan Stanley Smith Barney LLC in New York. The Form 144 is a notice of an intended sale under resale rules; timing and proceeds are not provided in the excerpt.

Insights

Securities Compliance Analyst

Form 144 is a regulatory resale notice for restricted shares.

Form 144 lists four lots of restricted common stock dated in 2023 totaling 2,760 shares when the four line items are summed. The filing names Morgan Stanley Smith Barney LLC as the broker-dealer handling the transaction.

These notices notify the SEC of an intended resale under the exemption; they do not confirm execution, price, or net proceeds. Subsequent filings or broker reports would show whether and when the shares were actually sold.

Equity Markets Lawyer

The document is procedural and does not change issuer fundamentals.

Form 144 is an informative compliance filing required when an affiliate or restricted holder intends to sell restricted or control stock. The excerpt identifies the security type as restricted stock and the broker at 1 New York Plaza.

Because execution, timing, and proceeds are not in the excerpt, legal and market impact depend on whether sales occur and their sizes relative to outstanding float; the excerpt provides only intended lots.

Key Figures

Restricted shares listed (per-lot): 927 shares, 756 shares, 510 shares, 567 shares Summed lots (simple sum of listed lines): 2,760 shares Broker-dealer location: 1 New York Plaza, 8th Floor

3 metrics

Restricted shares listed (per-lot) 927 shares, 756 shares, 510 shares, 567 shares dated 02/01/2023, 02/24/2023, 07/01/2023, 07/01/2023

Summed lots (simple sum of listed lines) 2,760 shares aggregate of the four line items in the excerpt

Broker-dealer location 1 New York Plaza, 8th Floor Morgan Stanley Smith Barney LLC address listed on the form

Key Terms

Restricted Stock, Form 144, Broker-Dealer

3 terms

Restricted Stock regulatory

"Securities To Be Sold entries list security type as "Restricted Stock""

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

"Header lines reference "144: Filer Information" and "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.

Broker-Dealer financial

"Morgan Stanley Smith Barney LLC is named with address and NASDAQ code"

A broker-dealer is a licensed firm or individual that both executes trades on behalf of clients (acting as a broker) and buys or sells securities for its own account (acting as a dealer). Investors care because broker-dealers provide the plumbing of markets — they place orders, hold or move cash and securities, offer research or advice, and their stability and fees directly affect trade execution, costs, and the safety of client funds; think of them as a combined travel agent and taxi for your investments.

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	2760	282516.08	45944734	05/12/2026	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	02/01/2023	Restricted Stock	Issuer			927	02/01/2023	Not Applicable
Common	02/24/2023	Restricted Stock	Issuer			756	02/24/2023	Not Applicable
Common	07/01/2023	Restricted Stock	Issuer			510	07/01/2023	Not Applicable
Common	07/01/2023	Restricted Stock	Issuer			567	07/01/2023	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 DIOD filed by Morgan Stanley Smith Barney LLC mean?

It is a regulatory notice indicating intent to resell restricted common stock. The filing lists four restricted stock lots dated in 2023 with specific share counts, but it does not confirm execution or sale proceeds.

How many DIOD restricted shares are listed in the excerpt?

The excerpt lists four restricted-stock line items: 927, 756, 510, and 567 shares. These entries are dated in 2023 and appear as intended resale lots in the Form 144.

Who is the broker-dealer named on the Form 144 for DIOD?

The broker-dealer listed is Morgan Stanley Smith Barney LLC, located at 1 New York Plaza, 8th Floor, New York, NY. The filing shows the broker handling the intended resale notification.

Does this Form 144 confirm that DIOD shares were sold?

No. Form 144 is a notice of an intended resale under resale rules. The excerpt does not provide execution details, sale dates, prices, or proceeds; it only lists the restricted lots and their dates.