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  4. [144] Spotify Technology S.A. SEC Filing

Issuer SPOT: shareholder plans $1.96M NYSE sale of common shares (SPOT)

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
144

Rhea-AI Filing Summary

An affiliate of the issuer filed a notice of proposed sale of 3,813 shares of common stock, to be executed through Morgan Stanley Smith Barney LLC Executive Financial Services on the NYSE on or after 08/14/2026. The filing lists an aggregate value of $1,955,745.07 and a reference number 205716853. The shares include 1,722 shares tied to a stock option exercise dated 08/14/2026 and multiple smaller restricted stock awards with grant or vesting dates from 09/01/2025 through 08/01/2026, each with specific share amounts such as 30 and 339 shares.

Positive

  • None.

Negative

  • None.
Shares proposed for sale 3,813 shares of common stock Total common shares covered by the Form 144 notice
Aggregate value $1,955,745.07 Aggregate value associated with the 3,813 common shares
Reference number 205716853 Identifier listed alongside the common shares entry
Broker-managed option shares 1,722 shares Shares tied to a Stock Option Exercise dated 08/14/2026
Restricted stock example 30 shares Restricted stock entry dated 09/01/2025 from issuer
Planned sale date 08/14/2026 Date associated with the proposed common stock sale on NYSE
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.
Stock Option Exercise financial
"Common | 08/14/2026 | Stock Option Exercise | Issuer"
A stock option exercise is the act of using a previously granted right to buy shares of a company's stock at a specific, predetermined price by paying that price and receiving the shares. It matters to investors because exercising changes who owns the shares (which can dilute existing ownership), can trigger taxable events and shift potential gains or losses, and affects voting power and the company’s outstanding share count—like turning a voucher into an actual product that becomes part of circulating supply.
Restricted Stock financial
"Common | 09/01/2025 | 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.
Executive Financial Services financial
"Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza"

FAQ

What does the Form 144 filing for SPOT indicate about planned share sales?
The Form 144 for SPOT indicates a proposed sale of 3,813 common shares with an aggregate value of $1,955,745.07, to be executed through Morgan Stanley Smith Barney LLC on or after 08/14/2026 on the NYSE.

How many SPOT shares are tied to stock option exercises in this Form 144?
The notice lists 1,722 common shares associated with a Stock Option Exercise dated 08/14/2026. These shares form part of the total 3,813 shares covered by the Form 144 proposed for sale through the designated broker.

What restricted stock entries are disclosed for SPOT in this Form 144?
The filing lists several restricted stock entries in common stock, with dates from 09/01/2025 through 08/01/2026 and individual share amounts such as 30 and 339 shares, all sourced from the issuer and marked as not applicable for consideration.

On which exchange are the SPOT shares in this Form 144 expected to be sold?
The common shares referenced in the Form 144 are indicated for sale on the NYSE. The filing connects the proposed sale of 3,813 shares of common stock with an aggregate value of $1,955,745.07 to trading on that exchange.

What role does Morgan Stanley Smith Barney LLC play in the SPOT Form 144?
Morgan Stanley Smith Barney LLC Executive Financial Services is listed as the broker for the proposed sale of 3,813 common shares. Its New York address is provided, indicating it will handle execution of the transactions on the NYSE after 08/14/2026.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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144: Filer Information

144: Issuer Information

144: Securities Information



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


* 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

144: Remarks and Signature

Source: View Original Filing on SEC EDGAR