Morgan Stanley Smith Barney LLC (NASDAQ: SOPH) files Form 144 for 608 RSUs

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC filed a Rule 144 notice relating to 608 Restricted Stock Units dated 03/18/2026 to be sold. The entry lists the securities as Common and identifies the issuer role as Issuer.

The filing also shows recent 10b5-1 sales by Philippe Menu, including transactions of 5,000 shares on 03/12/2026 for $22,592.50 and 608 shares on 02/19/2026 for $2,932.38.

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	608	2985.28	68486338	03/19/2026	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	03/18/2026	Restricted Stock Units	Issuer			608	03/18/2026	N/A

* 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
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	03/12/2026	5000	22592.50
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	02/19/2026	608	2932.38
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	02/12/2026	5000	23626.00
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	01/20/2026	608	3268.73
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	01/12/2026	5000	25622.50
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	01/06/2026	5006	23885.13

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)

FAQ

What does the SOPH Form 144 file report?

The filing reports a Rule 144 notice for 608 Restricted Stock Units dated 03/18/2026. It lists the securities as Common and records the issuer role as Issuer, indicating a proposed affiliate sale under Rule 144.

Who appears as the seller in the recent transactions listed?

The excerpt shows multiple 10b5-1 sales by Philippe Menu. Examples include 5,000 shares on 03/12/2026 for $22,592.50 and 608 shares on 02/19/2026 for $2,932.38, indicating prior automated disposition activity.

Are the reported sales open-market or planned trades?

The transactions are labeled as 10b5-1 Sales, which indicates they were effected under pre-arranged trading plans. The filing lists specific trade dates and share amounts for those plan-based sales.

Does the filing state the cash‑flow treatment or proceeds recipient?

The excerpt lists sale amounts per transaction but does not specify the recipient of proceeds or the planned use of funds. The filing identifies the securities as Issuer and records transaction prices for the 10b5-1 sales.