Morgan Stanley broker files Form 144 for XYZ (NYSE: XYZ) listing prior sales

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services filed a Form 144 reporting an intended sale of Common stock. The filing lists restricted Common stock with an event date of 05/20/2025 and records recent dispositions by Owen B. Jennings: 44 shares for $3,124.00 on 05/19/2026, 133 shares for $8,013.25 on 04/06/2026, and 3,555 shares for $225,422.55 on 03/03/2026.

The filing identifies the trading venue as NYSE and includes dealer information for Morgan Stanley Smith Barney LLC. The document is administrative in nature, disclosing proposed resale activity and recent sales by the reporting person.

Insights

Securities Compliance Counsel

Form 144 documents a proposed resale and recent dispositions under resale conditions.

The filing lists restricted Common stock with a referenced date of 05/20/2025 and shows recent sales by Owen B. Jennings totaling 3,732 shares across three trades and proceeds of $236,559.80. This is a regulatory disclosure used to meet resale notification requirements.

Timing and mechanics for the proposed sale are not specified here; subsequent SEC or broker filings would show execution details. Cash‑flow treatment is not stated in the provided excerpt.

Brokerage Operations Analyst

Broker-dealer details and trade-by-trade proceeds are shown, useful for transaction audit trails.

The form cites Morgan Stanley Smith Barney LLC as the broker and lists trade dates and gross proceeds: $3,124.00, $8,013.25, and $225,422.55. These entries help reconcile executed dispositions with the resale notice.

Investors should note these are record entries of prior sales and an indicated intended sale; execution status and volumes available for resale are not provided in this excerpt.

Key Figures

Restricted stock event date: 05/20/2025 Disposition on 03/03/2026: 3,555 shares Proceeds from 03/03/2026 sale: $225,422.55 +5 more

8 metrics

Restricted stock event date 05/20/2025 Securities To Be Sold entry

Disposition on 03/03/2026 3,555 shares Sale by Owen B. Jennings

Proceeds from 03/03/2026 sale $225,422.55 Sale by Owen B. Jennings

Disposition on 04/06/2026 133 shares Sale by Owen B. Jennings

Proceeds from 04/06/2026 sale $8,013.25 Sale by Owen B. Jennings

Disposition on 05/19/2026 44 shares Sale by Owen B. Jennings

Proceeds from 05/19/2026 sale $3,124.00 Sale by Owen B. Jennings

Aggregate disclosed shares sold (sum of listed trades) 3,732 shares Sum of three disclosed dispositions

Key Terms

Form 144, Restricted Stock, Broker-dealer

3 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.

Restricted Stock financial

"Common | 05/20/2025 | Restricted Stock"

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.

Broker-dealer market

"Morgan Stanley Smith Barney LLC Executive Financial Services"

A broker-dealer is a licensed firm or individual that both executes trades on behalf of clients (acting as a broker) and buys or sells securities for its own account (acting as a dealer). Investors care because broker-dealers provide the plumbing of markets — they place orders, hold or move cash and securities, offer research or advice, and their stability and fees directly affect trade execution, costs, and the safety of client funds; think of them as a combined travel agent and taxi for your investments.

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	583	40710.89	535195000	05/21/2026	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	05/20/2025	Restricted Stock	ISSUER			583	05/20/2025	Not Applicable

* 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
OWEN B JENNINGS 1955 Broadway, Suite 600 Oakland CA 94612	Common	05/19/2026	44	3124.00
OWEN B JENNINGS 1955 Broadway, Suite 600 Oakland CA 94612	Common	04/06/2026	133	8013.25
OWEN B JENNINGS 1955 Broadway, Suite 600 Oakland CA 94612	Common	03/03/2026	3555	225422.55

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 Form 144 filing for XYZ report?

The filing reports an intended resale of restricted Common stock and documents recent sales by Owen B. Jennings. It lists trade dates and gross proceeds for three dispositions totaling 3,732 shares and $236,559.80.

Who is listed as the broker-dealer on the XYZ Form 144?

Morgan Stanley Smith Barney LLC is identified with address details and NYSE noted as the trading venue. The filing shows the broker-dealer name and location but does not provide execution confirmation for the intended sale.

What recent sales by Owen B. Jennings are disclosed in the filing?

The filing shows three dispositions by Owen B. Jennings: 44 shares for $3,124.00 on 05/19/2026, 133 shares for $8,013.25 on 04/06/2026, and 3,555 shares for $225,422.55 on 03/03/2026.

Does the Form 144 state how proceeds will be used for XYZ?

The excerpt does not state any use of proceeds. It lists gross proceeds for prior sales but does not describe recipients or intended allocation of funds for the proposed resale.