SM Energy (SM) Form 144: ESPP and RSU lots totaling discrete share blocks

Rhea-AI Filing Summary

SM Energy filed a Form 144 notice listing multiple blocks of Common Stock proposed for sale. The excerpt lists ledger entries showing quantities tied to employee plans (ESPP, RSU) with transaction dates such as 06/30/2023, 12/29/2023, 06/28/2024, and 07/03/2023.

The filing shows individual lot quantities including 451, 293, 393, 1,070, 870, and 523 shares associated with ESPP and RSU entries. Broker/firm info includes Edward Jones and an NYSE line with date 05/18/2026.

Insights

SEC filings counsel

Form 144 lists specific employee-plan share lots and service-provider details, not a single aggregated offering.

The excerpt records multiple Common Stock entries tied to ESPP and RSU grants with discrete dates (for example, 06/30/2023 and 07/03/2023). It also references Edward Jones and an NYSE line with 05/18/2026.

These notices are administrative: they identify shares intended for sale under Rule 144 procedures. Subsequent transactions, timing, and proceeds are not shown in the excerpt; future filings would disclose completed dispositions.

Key Figures

Listed quantity (row): 3,600 Numeric field: 117,324.00 Identifier: 239,748,701 +6 more

9 metrics

Listed quantity (row) 3,600 appears in issuer/ledger line

Numeric field 117,324.00 appears in issuer/ledger line

Identifier 239,748,701 appears in issuer/ledger line

Broker date 05/18/2026 NYSE line associated with Edward Jones

ESPP lot 451 shares <date>06/30/2023</date> entry labeled ESPP

ESPP lot 293 shares <date>12/29/2023</date> entry labeled ESPP

ESPP lot 393 shares <date>06/28/2024</date> entry labeled ESPP

RSU lots 1,070 and 870 shares <date>07/03/2023</date> entries labeled RSU

ESPP lot 523 shares <date>06/30/2021</date> entry labeled ESPP

Key Terms

Form 144, ESPP, RSU, NYSE

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.

ESPP compensation

"Common | 06/30/2023 | ESPP | SM Energy"

An Employee Stock Purchase Plan (ESPP) is a company program that lets employees buy the company’s shares at a reduced price, usually by setting aside a small portion of their pay over time. It matters to investors because it encourages employees to own part of the business—like giving staff a discounted membership— which can boost commitment and performance, while also potentially increasing the number of shares available and affecting shareholder value.

RSU compensation

"Common | 07/03/2023 | RSU | SM Energy"

Restricted stock units (RSUs) are a form of company shares given to employees as part of their compensation, usually with certain restrictions or conditions, such as remaining with the company for a set period. When these restrictions lift, employees receive actual shares that they can sell or hold. For investors, RSUs can impact a company's stock supply and reflect the company's commitment to attracting and retaining talent.

NYSE market

"239748701 | 05/18/2026 | NYSE"

A large, regulated marketplace where stocks and other securities are listed and traded, acting like a global auction house that matches buyers and sellers and helps determine share prices. It matters to investors because listing and trading there provide liquidity, price discovery, and regulatory oversight—making it easier to buy or sell holdings and giving companies a visible platform that can affect credibility and access to capital.

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	Edward Jones 201 Progress Parkway Maryland Heights MO 63043	3600	117324.00	239748701	05/18/2026	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: 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	06/30/2023	ESPP	SM Energy			451	06/30/2023	ESPP
Common	12/29/2023	ESPP	SM Energy			293	12/29/2023	ESPP
Common	06/28/2024	ESPP	SM Energy			393	06/28/2024	ESPP
Common	07/03/2023	RSU	SM Energy			1070	07/03/2023	RSU
Common	07/03/2023	RSU	SM Energy			870	07/03/2023	RSU
Common	06/30/2021	ESPP	SM Energy			523	06/30/2021	ESPP

* 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 SM's Form 144 list for sale?

The notice lists multiple Common Stock lots tied to employee plans, including 451, 293, 393, 1,070, 870, and 523 shares. These lots are shown with plan types such as ESPP and RSU and dates like 06/30/2023 and 07/03/2023.

Which plan types are referenced in the SM Form 144 excerpt?

The excerpt explicitly references ESPP (Employee Stock Purchase Plan) and RSU (Restricted Stock Unit) entries tied to the listed share lots and dates, for example 06/30/2023 and 12/29/2023.

Does the excerpt show who is acting as broker for the sale?

Yes; the excerpt names Edward Jones alongside an address and includes an NYSE line with 05/18/2026. The file shows broker information but not execution details or proceeds.

Are total proceeds or sale timing disclosed in this excerpt?

No monetary proceeds or specific sale timing are provided in the excerpt. The listing shows quantities and dates for share lots but does not state prices, proceeds, or settlement timing.