ROIV (NASDAQ: ROIV) restricted stock vesting listed on Form 144

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Form 144 notice for ROIV reporting restricted stock vesting events under a registered plan. The filing lists multiple vesting dates and per‑event share counts, including 13,580 shares vesting on 09/12/2024 and 14,745 shares vesting on 09/10/2025.

The entries are described as "Restricted stock vesting under a registered plan" with the issuer listed as the source of the vested shares. The filing documents the timing and share amounts of these compensation‑related vesting events rather than open‑market trades.

Insights

Compensation Analyst

Filing documents scheduled restricted‑stock vesting events, not sales.

The notice lists multiple vesting events where shares vested under a registered plan on specific dates; the issuer is recorded as the source. These are compensation issuances tied to service, shown as dated vesting entries (examples: 13,580 shares on 09/12/2024; 14,745 shares on 09/10/2025).

Cash‑flow treatment or any subsequent disposition of the vested shares is not stated in the excerpt; subsequent filings would show sales if and when they occur. Timing and amounts are explicit per vesting date in the notice.

Equity Compliance Specialist

Entries reflect issuer‑sourced vesting under plan terms, a routine compensation record.

The listing characterizes each item as "Restricted stock vesting under a registered plan" and attributes the shares to the issuer. The pattern and labels align with compensation vesting events rather than transfers to third parties.

Regulatory implication: these notices document the availability of shares that could be sold later under applicable rules; the filing itself does not disclose any sales or proceeds.

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	41861	1200498.13	715701137	03/16/2026	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	09/12/2024	Restricted stock vesting under a registered plan	Issuer			13580	09/12/2024	Services Rendered
Common	10/16/2023	Restricted stock vesting under a registered plan	Issuer			1226	10/16/2023	Services Rendered
Common	07/23/2024	Restricted stock vesting under a registered plan	Issuer			1702	07/23/2024	Services Rendered
Common	01/20/2026	Restricted stock vesting under a registered plan	Issuer			761	01/20/2026	Services Rendered
Common	01/19/2024	Restricted stock vesting under a registered plan	Issuer			1207	01/19/2024	Services Rendered
Common	07/17/2025	Restricted stock vesting under a registered plan	Issuer			1609	07/17/2025	Services Rendered
Common	09/10/2025	Restricted stock vesting under a registered plan	Issuer			14745	09/10/2025	Services Rendered
Common	04/24/2024	Restricted stock vesting under a registered plan	Issuer			1023	04/24/2024	Services Rendered
Common	04/17/2025	Restricted stock vesting under a registered plan	Issuer			1847	04/17/2025	Services Rendered
Common	01/23/2025	Restricted stock vesting under a registered plan	Issuer			1492	01/23/2025	Services Rendered
Common	10/21/2024	Restricted stock vesting under a registered plan	Issuer			1613	10/21/2024	Services Rendered
Common	10/20/2025	Restricted stock vesting under a registered plan	Issuer			1056	10/20/2025	Services Rendered

* 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 ROIV's Form 144 filing show?

It shows restricted stock vesting events under a registered plan for ROIV, listing specific vesting dates and share counts such as 13,580 (09/12/2024) and 14,745 (09/10/2025). The filing records vesting, not sales.

Does this Form 144 mean the shares were sold?

No. The excerpt lists shares as "Restricted stock vesting under a registered plan" with the issuer as source. It documents vesting events; any sale would appear in a separate transaction filing.

Who is the filer listed in the ROIV Form 144?

The filer is Morgan Stanley Smith Barney LLC Executive Financial Services, recorded as the submitting broker for the reported restricted stock vesting events on the listed dates.

How many vesting events are listed in the filing?

The filing lists multiple dated vesting events with per‑event share counts (examples include 1,047 to 14,745 shares across various dates). It enumerates each vesting date and amount rather than a single aggregate total.

Does the filing state proceeds or cash treatment for these shares?

No. The excerpt attributes the shares to the issuer and characterizes them as vesting under a plan; it does not disclose any proceeds, sales, or cash‑flow treatment.