Morgan Stanley Smith Barney LLC (SYM) files Form 144 to resell 9,194 RSU shares

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Form 144 notice reporting proposed resale of 9,194 shares of Common stock tied to Restricted Stock Units with an allotment date of 04/23/2026. The filing also records a prior sale of 10,723 shares on 02/10/2026 for $667,719.07.

The filer lists broker/dealer details and a figure of 125,753,388 with an associated date of 04/28/2026 and exchange NASDAQ; the entry appears among security/issuer fields in the notice.

Insights

Securities Compliance Analyst

Form 144 records a proposed resale of RSU-derived common shares and a recent prior sale.

The filing lists a proposed sale of 9,194 shares linked to Restricted Stock Units dated 04/23/2026, which is a routine disclosure under Section 144 when restricted securities are offered for resale through a broker.

Prior completed activity includes a sale of 10,723 shares on 02/10/2026 generating $667,719.07. The notice supplies broker information and a large numeric field of 125,753,388 dated 04/28/2026; its role (for example, shares outstanding) is not explicitly labeled in the excerpt.

Key Figures

Proposed resale: 9,194 shares Prior sale: 10,723 shares Proceeds from prior sale: $667,719.07 +1 more

4 metrics

Proposed resale 9,194 shares RSUs dated 04/23/2026

Prior sale 10,723 shares Sold on 02/10/2026

Proceeds from prior sale $667,719.07 Proceeds reported for 02/10/2026 sale

Document date/exchange entry 125,753,388 Listed with date 04/28/2026 and exchange NASDAQ

Key Terms

Form 144, Restricted Stock Units, Proceeds

3 terms

Form 144 regulatory

"submitted a Form 144 notice reporting proposed resale"

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.

Restricted Stock Units financial

"tied to Restricted Stock Units with an allotment date"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Proceeds financial

"10,723 shares on 02/10/2026 for $667,719.07"

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	9194	547226.88	125753388	04/28/2026	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	04/23/2026	Restricted Stock Units	Issuer			9194	04/23/2026	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
COREY DUFRESNE 200 RESEARCH DRIVE WILMINGTON MA 01887	Common	02/10/2026	10723	667719.07

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 SYM Form 144 report?

It reports a proposed resale of 9,194 common shares tied to Restricted Stock Units dated 04/23/2026. The notice also records a prior sale of 10,723 shares on 02/10/2026 for $667,719.07.

Who is the broker or filer on the Form 144?

The filing lists Morgan Stanley Smith Barney LLC as the broker/filer with an address at 1 New York Plaza, 8th Floor, New York, NY. That broker is named in the filer information section of the notice.

What securities are being offered for resale in this notice?

The notice lists Common stock arising from Restricted Stock Units, specifying a proposed resale amount of 9,194 shares with a grant/allotment date of 04/23/2026.

Does the Form 144 show recent selling activity?

Yes. It records a past sale of 10,723 common shares on 02/10/2026 with proceeds shown as $667,719.07, which is listed under securities sold during the past three months.

Is there an outstanding share count shown in the filing?

The excerpt includes the number 125,753,388 with the date 04/28/2026 and exchange NASDAQ. The filing text does not explicitly label that number, so its exact meaning is not defined in the provided excerpt.