Morgan Stanley Smith Barney (NASDAQ: MLKN) files Form 144 sale notice

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services filed a Rule 144 notice reporting proposed sales of Common shares. The filing lists specific lots tied to vesting and an earlier open‑market purchase, with quantities and dates provided for each lot.

Key Figures

Lot - 08/01/2023 restricted vesting: 23,782 shares Lot - 08/01/2025 performance units: 15,875 shares Lot - 07/22/2025 restricted vesting: 76,607 shares +1 more

4 metrics

Lot - 08/01/2023 restricted vesting 23,782 shares Restricted stock vesting under a registered plan on <date>08/01/2023</date>

Lot - 08/01/2025 performance units 15,875 shares Performance Stock Units vesting on <date>08/01/2025</date>

Lot - 07/22/2025 restricted vesting 76,607 shares Restricted stock vesting under a registered plan on <date>07/22/2025</date>

Open‑market purchase 66,050 shares Open Market Purchase on <date>10/03/2022</date>

Key Terms

Form 144, Restricted Stock Vesting Under a Registered Plan, Performance Stock Units, Open Market Purchase

4 terms

Form 144 regulatory

"Securities To Be Sold / Securities Sold During The Past 3 Months"

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.

Restricted Stock Vesting Under a Registered Plan financial

"Common | 08/01/2023 | Restricted Stock Vesting Under a Registered Plan"

Performance Stock Units financial

"Common | 08/01/2023 | Performance Stock Units"

Performance stock units are a type of company award that grants employees shares of stock only if certain performance goals are met. They motivate employees to work toward specific company achievements, aligning their interests with those of shareholders. For investors, they can influence a company's future stock supply and reflect management’s confidence in reaching key targets.

Open Market Purchase market

"Common | 10/03/2022 | Open Market Purchase"

An open market purchase is when a company buys its own shares on public stock exchanges the same way any investor would, rather than through a private deal. Investors care because these purchases reduce the number of shares available, can boost earnings per share and share price, signal that management thinks the stock is undervalued, and use company cash that might otherwise go to reinvestment or dividends — like a business quietly buying back its own tickets at the box office.

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Available on EDGAR 07/02/2026 - 04:09 PM Accepted by SEC EDGAR 07/02/2026 - 04:09 PM 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
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	182314	3804587.90	68374732	07/02/2026	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	08/01/2023	Restricted Stock Vesting Under a Registered Plan	Issuer			23782	08/01/2023	Employee Stock Unit Award(s)
Common	08/01/2023	Performance Stock Units	Issuer			15875	08/01/2025	Employee Stock Unit Award(s)
Common	07/22/2025	Restricted Stock Vesting Under a Registered Plan	Issuer			76607	07/22/2025	Employee Stock Unit Award(s)
Common	10/03/2022	Open Market Purchase	Open Market			66050	10/03/2022	Cash

* 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 MLKN Form 144 filing report?

The Form 144 reports proposed sales of Common shares by Morgan Stanley Smith Barney LLC Executive Financial Services. It lists specific lots with quantities and dates, including restricted stock vesting entries and an open‑market purchase that are the subject of the notice.

Which share lots are listed in the MLKN filing?

The filing lists four share entries: 23,782 shares (08/01/2023 vesting), 15,875 shares (08/01/2025 performance units), 76,607 shares (07/22/2025 vesting), and an open‑market purchase of 66,050 shares (10/03/2022).

Are the listed securities restricted or open‑market purchases?

The notice includes both restricted stock vesting under a registered plan and performance stock units with vesting dates, plus a prior open‑market purchase noted as a cash transaction. Each entry in the filing carries its own date and description.

Does the filing state total proceeds or timing for sales?

The excerpt lists share quantities and dates for each lot but does not state proceeds or an explicit sale schedule. The filing is a Rule 144 notice reporting intent to sell; specific sale timing and proceeds are not included in the provided excerpt.