Morgan Stanley Smith Barney (FORM) proposes sale of restricted common shares

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services submitted a Form 144 proposing the sale of common stock. The filing lists multiple restricted-stock grants and an Employee Stock Purchase Plan allocation with grant dates and the following quantities: 580, 391, 580, 359, 341, 535, 96, 580 linked to specific grant dates.

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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	3462	313034.04	77917947	03/05/2026	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	12/02/2024	Restricted Stock	ISSUER			580	12/02/2024	Not Applicable
Common	11/05/2024	Restricted Stock	ISSUER			391	11/05/2024	Not Applicable
Common	06/02/2024	Restricted Stock	ISSUER			580	06/02/2024	Not Applicable
Common	02/05/2025	Restricted Stock	ISSUER			359	02/05/2025	Not Applicable
Common	07/31/2024	Employee Stock Purchase Plan	ISSUER			341	07/31/2024	Cash
Common	03/02/2024	Restricted Stock	ISSUER			535	03/02/2024	Not Applicable
Common	12/02/2023	Restricted Stock	ISSUER			96	12/02/2023	Not Applicable
Common	09/02/2024	Restricted Stock	ISSUER			580	09/02/2024	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

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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 did FORM file in the Form 144?

The filer proposed the sale of common stock from restricted grants and an ESPP allocation. The document lists grant dates and quantities including 580, 391, 580, 359, 341, 535, 96, and 580 shares tied to specific grant dates.

Who is the filer listed on this Form 144?

The filing names Morgan Stanley Smith Barney LLC Executive Financial Services as the filer. The record shows an address at 1 New York Plaza, 8th Floor, New York, NY 10004 and indicates the securities are common stock.

Are the securities described as restricted or freely tradable?

The Form 144 entries identify the securities as Restricted Stock and one entry as Employee Stock Purchase Plan. Each line pairs a grant or issue date with a specific share quantity.

Does the filing state where the securities are traded?

Yes; the filing includes a market reference to NASDAQ. The record also lists numeric fields and a date but does not detail transaction timing or proceeds within the provided excerpt.