Morgan Stanley Smith Barney (NASDAQ: RMBS) files notice to sell shares

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services submitted a Form 144 notice to report proposed sales of Common stock tied to compensation awards. The filing lists multiple award types and grant dates with specific share counts, including 5,370 restricted shares (grant date 02/03/2024) and 4,377 restricted shares (grant date 02/01/2024.

The excerpt enumerates performance shares (10) and several restricted stock lots with grant dates and share counts; the filing does not aggregate a single total for the proposed sales in the provided excerpt.

Key Figures

Performance Shares: 10 shares Restricted Stock example A: 5,370 shares Restricted Stock example B: 4,377 shares +2 more

5 metrics

Performance Shares 10 shares grant date <date>02/01/2025</date>

Restricted Stock example A 5,370 shares grant date <date>02/03/2024</date>

Restricted Stock example B 4,377 shares grant date <date>02/01/2024</date>

Restricted Stock other lot 4,349 shares grant date <date>02/01/2025</date>

Exchange listed NASDAQ exchange listed in header

Key Terms

Form 144, Restricted Stock, Performance Shares

3 terms

Form 144 regulatory

"144: Securities To Be Sold"

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 financial

"Common | 02/03/2024 | Restricted Stock | Issuer"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

Performance Shares financial

"Common | 02/01/2025 | Performance Shares | Issuer"

Performance shares are a type of company stock given to executives or employees that only become theirs if the company meets specific goals, like hitting certain profits or growth targets. They motivate leaders to work toward the company’s success, because their additional shares depend on achieving these results.

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	37914	5751227.74	108136967	05/26/2026	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	02/01/2025	Performance Shares	Issuer			10	02/01/2025	Not Applicable
Common	02/03/2024	Restricted Stock	Issuer			5370	02/03/2024	Not Applicable
Common	02/01/2024	Restricted Stock	Issuer			4377	02/01/2024	Not Applicable
Common	02/01/2025	Restricted Stock	Issuer			4349	02/01/2025	Not Applicable
Common	02/01/2024	Restricted Stock	Issuer			6529	02/01/2024	Not Applicable
Common	02/01/2025	Restricted Stock	Issuer			6814	02/01/2025	Not Applicable
Common	02/01/2024	Restricted Stock	Issuer			3421	02/01/2024	Not Applicable
Common	02/01/2025	Restricted Stock	Issuer			4012	02/01/2025	Not Applicable
Common	04/01/2025	Restricted Stock	Issuer			3032	04/01/2025	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

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 RMBS Form 144 filing report?

The filing reports proposed sales of Common stock related to compensation awards. It lists specific awards including performance shares (10) and restricted stock lots such as 5,370 and 4,377 with grant dates in 2024 and 2025.

Who is the filer on the RMBS Form 144 notice?

The filer is Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza, New York, NY. The filing header identifies that entity as the reporting filer for the proposed sales of Common stock.

Which award types and sample share counts appear in the filing?

The excerpt lists Performance Shares (10) and multiple Restricted Stock grants. Examples include restricted awards of 5,370 shares (02/03/2024) and 4,377 shares (02/01/2024) shown in the table.

Does the excerpt state an aggregate number of shares to be sold?

No aggregate offering total is provided in the provided excerpt. The filing enumerates individual award lots with dates and counts but does not present a single summed total for proposed sales.

Are sale proceeds or transaction timing disclosed in the excerpt?

The excerpt does not state proceeds or detailed timing for sales. It lists grant dates and share counts for awards; the cash‑flow treatment and specific sale dates are not included in the provided text.