Form 144 reports restricted stock vesting and immediate sale of 3,731 shares

Rhea-AI Filing Summary

The filing is a Form 144 reporting a proposed sale of 3,731 shares of common stock with an aggregate market value of $417,872. The securities are listed as outstanding in the amount of 60,658,809 shares and the proposed sale is identified for 08/08/2025 on NASDAQ.

The shares were acquired on 08/07/2025 as restricted stock vesting from the issuer and the consideration is listed as compensation. The form notes "Nothing to Report" for securities sold during the past three months. Several filer contact fields (including CIK and submission contact details) appear blank in the provided content.

Positive

• Transaction is small relative to outstanding shares (3,731 of 60,658,809, ≈0.006%), implying limited market impact
• Securities were acquired as compensation via restricted stock vesting, a routine corporate compensation mechanism

Negative

• Planned sale occurs one day after vesting (acquired 08/07/2025; approximate sale 08/08/2025), which may attract attention to timing
• Filer identification and contact fields are blank in the provided content, a gap in the extracted filing information

Insights

Financial Analyst

TL;DR: A small, routine insider-related sale: 3,731 shares worth $417,872, representing roughly 0.006% of outstanding stock.

The transaction size is immaterial to market capitalization given 3,731 shares versus 60,658,809 outstanding (≈0.006%). The filing shows the shares were acquired via restricted stock vesting and are being sold the next day, producing $417,872 of aggregate value. No prior sales by the person are reported in the last three months. From a financial-impact perspective, this disclosure is routine and unlikely to move investor valuation.

Corporate Governance Expert

TL;DR: Governance signals are routine but immediate post-vesting sale is notable for timing; disclosure appears complete except for missing filer contact details.

The filing documents a sale of shares that were vested as compensation and scheduled for sale the following day, which is an explicit timing fact in the notice. The form states no securities sold in the prior three months, suggesting this is a discrete transaction tied to granted compensation. However, filer identification and contact fields in the provided content are blank, which is a disclosure deficiency in the supplied document extract.

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	ETRADE FINANCIAL CORPORATION ETRADE FINANCIAL CORPORATION 3 EDISON DRIVE ALPHARETTA GA 30005	3731	417872.00	60658809	08/08/2025	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	08/07/2025	RESTRICTED STOCK VESTING	ISSUER			3731	08/07/2025	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 the Form 144 report for JAZZ (metadata symbol)?

The provided Form 144 content reports a proposed sale of 3,731 common shares (aggregate value $417,872) identified in the filing as issued by ETRADE FINANCIAL CORPORATION; the metadata symbol JAZZ appears to differ from the issuer named in the filing content.

How many shares and what dollar value are scheduled for sale?

The notice lists 3,731 shares with an aggregate market value of $417,872.

When were the shares acquired and how were they acquired?

The shares were acquired on 08/07/2025 by restricted stock vesting from the issuer; the nature of payment is listed as compensation.

On which exchange is the sale planned?

The filing identifies the NASDAQ as the securities exchange for the proposed sale.

Were any securities sold by this person in the past three months?

The filing states "Nothing to Report" for securities sold during the past three months.