Morgan Stanley Smith Barney (NYSE: OOMA) amends sale notice for vested shares

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC reports proposed sales of Common Stock tied to restricted stock vesting under a registered plan. The amendment lists multiple vesting lots with specific share counts and vesting dates, including 5,544 shares vesting 09/01/2023 and 6,790 shares vesting 12/08/2024.

The notice indicates these are compensation-related vested shares being offered for sale by the broker-dealer; the filing is an amendment to a prior sale notice.

Insights

Securities Compliance Counsel

Amendment documents proposed broker-dealer sales of vested restricted shares.

The filing amends a prior notice and lists discrete vesting events described as "Restricted Stock Vesting Under a Registered Plan," with per-lot share counts and vesting dates (e.g., 5,544 on 09/01/2023, 6,790 on 12/08/2024).

These entries are compensation-related dispositions by or through a broker-dealer; the document does not state execution timing, pricing, or proceeds treatment beyond the sale notice.

Key Figures

Vesting lot: 5,544 shares Vesting lot: 6,790 shares Vesting lot: 1,761 shares +3 more

6 metrics

Vesting lot 5,544 shares vesting date 09/01/2023

Vesting lot 6,790 shares vesting date 12/08/2024

Vesting lot 1,761 shares vesting date 12/01/2022

Vesting lot 6,249 shares vesting date 12/15/2024

Filer identifier 25888 file excerpt field

Large numeric field 27,600,000 file excerpt field

Key Terms

Restricted Stock Vesting Under a Registered Plan, 144/A, Issuer

3 terms

Restricted Stock Vesting Under a Registered Plan regulatory

"Restricted Stock Vesting Under a Registered Plan | Issuer | 5544 | 09/01/2023"

144/A regulatory

"144/A: Securities To Be Sold"

Issuer other

"Restricted Stock Vesting Under a Registered Plan | Issuer | | | 6790"

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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/A

144/A: Filer Information

Filer CIK
Filer CCC
Previous Accession Number Of The Filing
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144/A: 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

Relationship to Issuer

144/A: 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 c/o Executive Financial Services Dept. 1 New York Plaza 8th Floor New York NY 10004	25888	369162.88	27600000	03/06/2026	NYSE

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/A: 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	09/01/2023	Restricted Stock Vesting Under a Registered Plan	Issuer			5544	09/01/2023	Compensation
Common	09/01/2023	Restricted Stock Vesting Under a Registered Plan	Issuer			5544	09/01/2023	Compensation
Common	12/08/2024	Restricted Stock Vesting Under a Registered Plan	Issuer			6790	12/08/2024	Compensation
Common	12/01/2022	Restricted Stock Vesting Under a Registered Plan	Issuer			1761	12/01/2022	Compensation
Common	12/15/2024	Restricted Stock Vesting Under a Registered Plan	Issuer			6249	12/15/2024	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/A: Securities Sold During The Past 3 Months

Nothing to Report

144/A: 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 144/A filing for OOMA indicate?

It amends a prior sale notice listing proposed sales of vested restricted shares. The amendment lists multiple vesting lots and share counts tied to a registered compensation plan, with specific vesting dates such as 09/01/2023 and 12/08/2024.

Who is the filer listed on the 144/A for OOMA?

The filer is Morgan Stanley Smith Barney LLC. The filing identifies the broker-dealer as the party handling proposed dispositions of vested restricted common stock under a registered plan.

How many shares and vesting dates are shown in the amendment?

The amendment lists multiple lots, including 5,544 shares vesting 09/01/2023, 6,790 shares vesting 12/08/2024, 1,761 shares vesting 12/01/2022, and 6,249 shares vesting 12/15/2024.

Does the filing state when the sales will occur or proceeds use?

No specific sale timing or use-of-proceeds details are provided in the amendment. The filing records proposed dispositions of vested compensation shares but does not disclose execution dates, prices, or proceeds treatment.