Morgan Stanley Smith Barney (XYZ) files Form 144 to sell 44 shares

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services submitted a Form 144 notice relating to the proposed sale of 44 common shares under an Employee Stock Purchase Plan dated 05/15/2026.

The filing also lists prior reported sales by Owen B. Jennings: 133 shares sold on 04/06/2026 for $8,013.25 and 3,555 shares sold on 03/03/2026 for $225,422.55.

Insights

Securities Compliance Specialist

Form 144 notifies the SEC of an intended resale of restricted or control securities.

The notice records a proposed sale of 44 common shares under an Employee Stock Purchase Plan with a trade date of 05/15/2026. The filing is procedural: it signals an intended resale rather than a completed market transaction.

Prior reported dispositions by Owen B. Jennings are listed with exact shares and proceeds; these are historical sale details contained in the excerpt. Timing and method limitations that would affect execution are not provided in the excerpt.

Key Figures

Proposed resale: 44 shares Prior sale: 133 shares Prior sale: 3,555 shares

3 metrics

Proposed resale 44 shares Employee Stock Purchase Plan trade date <date>05/15/2026</date>

Prior sale 133 shares sold on <date>04/06/2026</date> for <money>$8,013.25</money>

Prior sale 3,555 shares sold on <date>03/03/2026</date> for <money>$225,422.55</money>

Key Terms

Form 144, Employee Stock Purchase Plan, Issuer

3 terms

Form 144 regulatory

"submitted a Form 144 notice relating to the proposed sale"

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.

Employee Stock Purchase Plan financial

"under an Employee Stock Purchase Plan dated 05/15/2026"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

Issuer regulatory

"listed as ISSUER in the Securities To Be Sold section"

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

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Accepted by SEC EDGAR 05/19/2026 - 04:25 PM Learn about SEC filing dates

FAQ

What does the Form 144 for XYZ disclose?

It discloses a proposed resale of 44 common shares under an Employee Stock Purchase Plan with a trade date of 05/15/2026. The filing lists prior sales by Owen B. Jennings with share counts and proceeds.

Who is listed as the filer on the Form 144 for XYZ?

The filer is Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza, 8th Floor, New York, NY. The filing identifies the transaction as an issuer-related Employee Stock Purchase Plan sale.

What prior sales are shown in the XYZ excerpt?

Two prior dispositions by Owen B. Jennings are shown: 133 shares on 04/06/2026 for $8,013.25 and 3,555 shares on 03/03/2026 for $225,422.55 as listed in the excerpt.

Does the Form 144 confirm the sale was completed for the 44 shares?

No — the Form 144 notice records a proposed resale of 44 shares dated 05/15/2026. The excerpt does not state that the sale has been executed or provide execution details.

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	44	3124.00	535195000	05/19/2026	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	05/15/2026	Employee Stock Purchase Plan	ISSUER			44	05/15/2026	Cash

* 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	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)