Proposed sale of 425 Common shares by an owner (NYSE: SMA)

Rhea-AI Filing Summary

Form 144 notice: A proposed sale of Common shares is reported via a Form 144 filing. The filing lists 425 shares associated with Fidelity Brokerage Services LLC and a transaction by David J. Mueller dated 03/16/2026. The cover shows a filing date of 04/16/2026.

Insights

Securities Attorney

Routine Form 144 sale notice; procedural disclosure only.

The filing lists proposed sales of Common shares tied to restricted stock vesting events dated 06/09/2017, 06/05/2018, and 06/08/2018. It identifies Fidelity Brokerage Services LLC and a named seller, David J. Mueller.

Form 144 is a notice of intent to sell under Rule 144; it does not confirm completed trades or proceeds. Subsequent trade reporting (e.g., Form 4 or broker confirmations) would show execution details.

Key Figures

Shares reported: 425 shares Proposed seller transaction date: 03/16/2026 Filing date: 04/16/2026 +2 more

5 metrics

Shares reported 425 shares listed with Fidelity Brokerage Services LLC

Proposed seller transaction date 03/16/2026 transaction date for David J. Mueller

Filing date 04/16/2026 Form 144 filing date on cover

Context value shown 13,944.25 numeric value present in the excerpt (labeling not specified)

Identifier number 55,357,177 numeric sequence appearing on the cover (context not specified)

Key Terms

Restricted Stock Vesting, Form 144, Issuer

3 terms

Restricted Stock Vesting financial

"Restricted Stock Vesting | Issuer | 06/09/2017"

Restricted stock vesting is the timetable and conditions under which shares granted to employees or insiders become fully owned and can be sold, typically requiring continued work or meeting performance goals. It matters to investors because large blocks of shares can become tradable at once, which can change share supply and price, and because vesting aligns insiders’ incentives with the company’s long‑term performance—think of it like a timed unlock that both rewards and locks in key people.

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.

Issuer financial

"Restricted Stock Vesting | Issuer"

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Accepted by SEC EDGAR 04/16/2026 - 09:54 AM Learn about SEC filing dates

FAQ

What does the Form 144 for SMA show?

The Form 144 reports a proposed sale of Common shares. It lists 425 shares linked to Fidelity Brokerage Services LLC and a seller named David J. Mueller, with transaction date 03/16/2026 and filing date 04/16/2026.

Does this Form 144 mean the shares were sold?

No; Form 144 signals intent to sell under Rule 144, not completion. Execution and proceeds are not provided in this excerpt; a Form 4 or broker confirmation would record completed sales if they occur.

Which securities are described in the filing for SMA?

The filing refers to Common stock tied to restricted stock vesting. Vesting dates shown include 06/09/2017, 06/05/2018, and 06/08/2018, and the instrument type is listed as Common.

Who is listed as the broker or intermediary on the Form 144?

Fidelity Brokerage Services LLC is listed with an address at 900 Salem Street, Smithfield, RI 02917. The filing associates this broker with the 425 shares shown.

What dates appear in the SMA Form 144 excerpt?

Key dates in the excerpt are transaction date 03/16/2026 and filing date 04/16/2026. Vesting dates for the securities include 06/09/2017, 06/05/2018, and 06/08/2018.

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	Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917	425	13506.50	55357177	04/16/2026	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	06/09/2017	Restricted Stock Vesting	Issuer			121	06/09/2017	Compensation
Common	06/05/2018	Restricted Stock Vesting	Issuer			156	06/05/2018	Compensation
Common	06/08/2018	Restricted Stock Vesting	Issuer			148	06/08/2018	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: 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
David J. Mueller 10 Terrace Rd. Ladera Ranch CA 92694	Common	03/16/2026	425	13944.25

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)