Form 144: Morgan Stanley Smith Barney Restricted Stock Notice

Morgan Stanley Smith Barney LLC submitted a Form 144 notice listing multiple blocks of restricted common stock tied to specific grant/vesting dates.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Form 144 notice listing multiple blocks of restricted common stock tied to specific grant/vesting dates. The filing lists individual lot sizes such as 2,450 shares (01/30/2026), 2,662 shares (06/22/2024 and 06/22/2025), and several smaller lots dated between 06/11/2024 and 06/17/2021.

Insights

Securities Compliance Analyst

Notice of proposed resale of restricted shares by a broker-dealer affiliate.

The filing enumerates multiple tranches of restricted Common shares with explicit grant or vesting dates and per-lot share counts, indicating planned resale eligibility under Rule 144 procedures. The listing is administrative and describes quantities tied to specific dates.

Cash-flow treatment and aggregate offering mechanics are not stated in the excerpt; subsequent filings or broker confirmations would show sale method and timing.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the KALA Form 144 filing show?

The filing lists multiple blocks of restricted common stock with grant/vesting dates and per-lot share counts such as 2,450 (01/30/2026) and 2,662 (06/22/2024; 06/22/2025). It is a notice of proposed resale under Rule 144 procedures.

Who is the filer listed on the Form 144 for KALA?

The filer is shown as Morgan Stanley Smith Barney LLC, Executive Financial Services at 1 New York Plaza, 8th Floor, New York, NY. The excerpt identifies that entity as the submitting broker-dealer.

Are total shares to be sold aggregated in the filing excerpt?

The excerpt shows individual lot counts but does not provide a single aggregate total.

Do the entries include timing or sale method for the KALA shares?

The entries show grant/vesting dates for each lot (e.g., 06/11/2024, 01/30/2026) but the excerpt does not state sale timing, brokerage method, or proceeds; those details are not included here.

Are the listed shares described as restricted or unrestricted?

The listed securities are identified as Restricted Stock across multiple dates in the excerpt, indicating their restricted status at the time of the entries.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 03/12/2026 - 05:40 PM EDT Learn about SEC filing dates

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	0001307068
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	KALA BIO, INC.
SEC File Number	001-38150
Address of Issuer	1167 Massachusetts Avenue Arlington, MASSACHUSETTS 02476
Phone	(781) 996-5252
Name of Person for Whose Account the Securities are To Be Sold	Howard B Rosen
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	Director

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	13576	3975.05	8209725	03/12/2026	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	05/31/2025	Restricted Stock	Issuer			130	05/31/2025	Not Applicable
Common	05/31/2025	Restricted Stock	Issuer			130	05/31/2025	Not Applicable
Common	05/31/2025	Restricted Stock	Issuer			210	05/31/2025	Not Applicable
Common	01/30/2026	Restricted Stock	Issuer			2450	01/30/2026	Not Applicable
Common	06/17/2021	Restricted Stock	Issuer			400	06/17/2021	Not Applicable
Common	06/22/2024	Restricted Stock	Issuer			2662	06/22/2024	Not Applicable
Common	05/31/2024	Restricted Stock	Issuer			129	05/31/2024	Not Applicable
Common	05/31/2025	Restricted Stock	Issuer			800	05/31/2025	Not Applicable
Common	06/11/2025	Restricted Stock	Issuer			1400	06/11/2025	Not Applicable
Common	05/31/2025	Restricted Stock	Issuer			382	05/31/2025	Not Applicable
Common	05/31/2024	Restricted Stock	Issuer			382	05/31/2024	Not Applicable
Common	06/16/2022	Restricted Stock	Issuer			400	06/16/2022	Not Applicable
Common	05/31/2024	Restricted Stock	Issuer			129	05/31/2024	Not Applicable
Common	05/31/2024	Restricted Stock	Issuer			210	05/31/2024	Not Applicable
Common	06/11/2024	Restricted Stock	Issuer			1100	06/11/2024	Not Applicable
Common	06/22/2025	Restricted Stock	Issuer			2662	06/22/2025	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	03/12/2026
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	/s/ Howard B Rosen
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)