OKTA (NASDAQ) Form 144: Morgan Stanley lists RSU/ESPP lots and 10b5-1 sales

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Form 144 notice concerning proposed sales of Common stock of OKTA via brokerage activity on 06/02/2026. The filing lists securities from Restricted Stock Units and the Employee Stock Purchase Plan with lot counts 4,720 and 20,251, and shows multiple recent 10b5-1 sales by Larissa Schwartz.

The excerpt includes detailed recent dispositions dated 03/10/2026 through 05/07/2026, with individual sale quantities (for example, 5,197, 1,054, 126, 656) and proceeds shown (for example, $400,580.07, $84,320.00, $9,626.40). The filing identifies NASDAQ as the exchange and lists a broker address for Morgan Stanley Smith Barney LLC.

Insights

Equity Compliance Analyst

Routine Form 144 notice documenting planned/resale activity and recent Rule 10b5-1 dispositions.

The filing records proposed sales of common stock tied to RSUs and an Employee Stock Purchase Plan, plus multiple executed 10b5-1 sales by Larissa Schwartz dated between 03/10/2026 and 05/07/2026. The broker listed is Morgan Stanley Smith Barney LLC and the exchange cited is NASDAQ.

Compliance implications are procedural: these notices disclose intended brokered resales and document prior plan-based sales. Cash‑flow treatment and total registered offering amount are not stated in the provided excerpt; subsequent filings or broker confirmations would show settlement and exact proceeds handling.

Key Figures

Broker reference number: 24,971 Reported aggregate value field: 3,490,696.09 Reference number: 166,119,894 +5 more

8 metrics

Broker reference number 24,971 listed in filer block

Reported aggregate value field 3,490,696.09 value shown in filer block

Reference number 166,119,894 listed in filer block

Filing date 06/02/2026 form header date

RSU/ESPP lot 4,720 shares Restricted Stock Units and Employee Stock Purchase Plan dated 06/15/2019

RSU/performance lot 20,251 shares Restricted Stock Units and Performance Unit Shares dated 03/15/2026

Example executed sale 5,197 shares 10b5-1 sale on 05/06/2026 with proceeds $400,580.07

Example proceeds $400,580.07 proceeds tied to 5,197-share 10b5-1 sale on 05/06/2026

Key Terms

Form 144, 10b5-1, Restricted Stock Units, Employee Stock Purchase Plan

4 terms

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.

10b5-1 regulatory

"10b5-1 Sales for LARISSA SCHWARTZ 100 First Street"

A 10b5-1 plan is a pre-set schedule that lets company insiders buy or sell shares according to written instructions made when they do not possess material, nonpublic information. Think of it as a timed automatic payment for stock trades: it helps insiders avoid accusations of trading on secret information and gives outside investors a clearer signal about whether sales are routine or potentially informative about the company’s prospects.

Restricted Stock Units financial

"Restricted Stock Units and Employee Stock Purchase Plan"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Employee Stock Purchase Plan financial

"Restricted Stock Units and Employee Stock Purchase Plan"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

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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	24971	3490696.09	166119894	06/02/2026	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	06/15/2019	Restricted Stock Units and Employee Stock Purchase Plan	Issuer			4720	06/15/2019	N/A
Common	03/15/2026	Restricted Stock Units and Performance Unit Shares	Issuer			20251	03/15/2026	N/A

* 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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
10b5-1 Sales for LARISSA SCHWARTZ 100 First Street, Suite 600 San Francisco CA 94105	Common	05/07/2026	1054	84320.00
10b5-1 Sales for LARISSA SCHWARTZ 100 First Street, Suite 600 San Francisco CA 94105	Common	05/06/2026	126	9626.40
10b5-1 Sales for LARISSA SCHWARTZ 100 First Street, Suite 600 San Francisco CA 94105	Common	05/06/2026	5197	400580.07
10b5-1 Sales for LARISSA SCHWARTZ 100 First Street, Suite 600 San Francisco CA 94105	Common	04/07/2026	1054	84404.32
10b5-1 Sales for LARISSA SCHWARTZ 100 First Street, Suite 600 San Francisco CA 94105	Common	04/07/2026	126	10090.08
10b5-1 Sales for LARISSA SCHWARTZ 100 First Street, Suite 600 San Francisco CA 94105	Common	04/07/2026	5197	414088.72
10b5-1 Sales for LARISSA SCHWARTZ 100 First Street, Suite 600 San Francisco CA 94105	Common	03/10/2026	1054	84320.00
10b5-1 Sales for LARISSA SCHWARTZ 100 First Street, Suite 600 San Francisco CA 94105	Common	03/10/2026	126	10048.50
10b5-1 Sales for LARISSA SCHWARTZ 100 First Street, Suite 600 San Francisco CA 94105	Common	03/10/2026	656	52316.00

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 does OKTA Form 144 filed by Morgan Stanley indicate?

It indicates a broker notice of proposed resale of Common stock. The filing lists RSU and ESPP lots of 4,720 and 20,251 and notes recent 10b5-1 sales by Larissa Schwartz.

Who executed the recent 10b5-1 sales shown in the filing for OKTA?

The recent sales were executed by Larissa Schwartz. The excerpt shows multiple 10b5-1 sales dated 03/10/2026 through 05/07/2026 with specific share lots and proceeds.

How many shares from RSUs and ESPP are listed in the Form 144 excerpt?

The excerpt lists 4,720 shares associated with RSUs/ESPP dated 06/15/2019 and 20,251 shares tied to RSUs/performance units dated 03/15/2026 in the filing text.

Does the filing show the exchange and broker handling the sales for OKTA?

Yes. The filing names NASDAQ as the exchange and lists the broker as Morgan Stanley Smith Barney LLC with an address at 1 New York Plaza, 8th Floor, New York, NY.

Are the dollar proceeds of recent sales included in the Form 144 excerpt?

Yes. The excerpt includes proceeds for individual trades, examples include $400,580.07, $84,320.00, and $9,626.40 tied to specific share lots and trade dates.