Broker (MU) files Form 144 listing multiple vested restricted-share resales

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC filed a Form 144 reporting proposed sales of Common shares tied to restricted stock vesting under a registered plan. The notice lists multiple vesting dates and share quantities, including 3,521 (10/16/2021), 1,377 (01/15/2026) and 5,381 (10/16/2020). The transactions are identified as issuer-related vesting events and listed with cash as the consideration method.

Insights

Securities Compliance Attorney

Routine broker notice of intended resale tied to vested restricted stock.

The filing lists multiple small-lot proposed sales associated with restricted stock vesting under a registered plan. Each row ties a specific vesting date to a share quantity and indicates cash proceeds; this aligns with standard Form 144 disclosures for resale of vested awards.

Impact appears procedural: these are transfer/resale notices rather than new issuances. Subsequent Form 4 or broker execution reports would show completed trades and final cash-flow recipients.

Key Figures

Shares tied to 10/16/2021 vesting: 3,521 shares Shares tied to 01/15/2026 vesting: 1,377 shares Shares tied to 10/13/2025 vesting: 2,338 shares +3 more

6 metrics

Shares tied to 10/16/2021 vesting 3,521 shares vesting date 10/16/2021

Shares tied to 01/15/2026 vesting 1,377 shares vesting date 01/15/2026

Shares tied to 10/13/2025 vesting 2,338 shares vesting date 10/13/2025

Shares tied to 10/16/2020 vesting 5,381 shares vesting date 10/16/2020

Shares tied to 10/13/2022 vesting 3,747 shares vesting date 10/13/2022

Shares tied to 10/16/2019 vesting 1,859 shares vesting date 10/16/2019

Key Terms

Restricted stock vesting, Form 144, Issuer, Cash consideration

4 terms

Restricted stock vesting financial

"Restricted stock vesting under a registered plan"

Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

Form 144 regulatory

"Filer Information | 144: Filer Information"

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.

Issuer financial

"Restricted stock vesting under a registered plan | Issuer"

Cash consideration financial

"10/16/2021 ... Cash"

Cash consideration is the actual money paid to buy a company, asset, or stake rather than payment in shares or other forms. For investors it matters because cash payments deliver immediate, certain value and affect the buyer’s and seller’s cash reserves and balance sheets—like selling a car for cash versus taking a trade-in, one side gets instant spending power while the other changes its liquidity and risk profile.

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	18223	8283082.42	1127734051	04/14/2026	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	10/16/2021	Restricted stock vesting under a registered plan	Issuer			3521	10/16/2021	Cash
Common	01/15/2026	Restricted stock vesting under a registered plan	Issuer			1377	01/15/2026	Cash
Common	10/13/2025	Restricted stock vesting under a registered plan	Issuer			2338	10/13/2025	Cash
Common	10/16/2020	Restricted stock vesting under a registered plan	Issuer			5381	10/16/2020	Cash
Common	10/13/2022	Restricted stock vesting under a registered plan	Issuer			3747	10/13/2022	Cash
Common	10/16/2019	Restricted stock vesting under a registered plan	Issuer			1859	10/16/2019	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 Morgan Stanley Smith Barney LLC's Form 144 for MU show?

It reports proposed sales of Common shares tied to restricted stock vesting. The filing lists vesting dates and share counts such as 3,521 and 5,381, indicating intended resale under a registered plan.

Are these shares newly issued or from vested awards for MU?

They are from restricted stock vesting under a registered plan. The filing describes each lot by vesting date (for example, 10/16/2021 and 10/16/2020) implying resale of vested awards rather than new issuance.

Who is listed as the seller in the MU Form 144 filing?

The form identifies Morgan Stanley Smith Barney LLC Executive Financial Services on the cover as the broker/filing intermediary for the proposed resale of vested restricted shares.

What payment method is shown for the MU securities to be sold?

Each listed transaction row shows Cash as the consideration method associated with the resale of the vested restricted stock under the registered plan.

Will this Form 144 change MU's share count or outstanding shares?

No share-authority changes are indicated. The filing lists specific vested-share lots for resale; it does not state any change to authorized or outstanding share counts.