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This document is a notice filed with the SEC to inform about the proposed sale of securities under Rule 144 of the Securities Act of 1933.
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How to fill out form 144
How to fill out FORM 144
01
Obtain FORM 144 from the official website or a designated office.
02
Read the instructions carefully to understand the requirements.
03
Fill in your personal information including name, address, and contact details.
04
Provide details about the securities you are offering.
05
Indicate the proposed sale price and the number of shares.
06
Sign and date the form.
07
Submit the completed FORM 144 to the appropriate regulatory authority.
Who needs FORM 144?
01
Individuals or entities that plan to sell restricted securities.
02
Companies involved in private placements that intend to resell shares.
03
Anyone who has held securities for less than one year before selling.
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Who is required to file Form 144 pdf?
Anyone who sells restricted, unregistered, and control securities in the United States must follow Rule 144 of the Securities Act of 1933,1 which was passed as a way to protect investors after the stock market crashed in 1929.
What is the purpose of a Rule 144 filing?
Rule 144 regulates transactions dealing with restricted, unregistered, and control securities. (Control securities are held by insiders or others with significant influence on the issuer.) These types of securities are typically acquired over the counter (OTC) or through private sales.
What is a Form 144 filing?
What is SEC Form 144? Form 144 is a mandatory SEC filing for those intending to sell restricted or control securities. Restricted securities stem from private sales, whereas control securities belong to affiliates such as directors or large shareholders.
Who should file Form 144?
Form 144, required under Rule 144, is filed by a person who intends to sell either restricted securities or control securities (i.e., securities held by affiliates). Form 144 is notification to the SEC of this intention to sell and must take place at the time the sell order is placed with the broker-dealer.
Is Form 144 bullish or bearish?
Anyone who sells restricted, unregistered, and control securities in the United States must follow Rule 144 of the Securities Act of 1933,1 which was passed as a way to protect investors after the stock market crashed in 1929.
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What is FORM 144?
FORM 144 is a filing requirement by the Securities and Exchange Commission (SEC) for certain individuals and entities to notify the SEC of their intention to sell restricted or control securities.
Who is required to file FORM 144?
Individuals or entities that are deemed either control persons or are selling restricted securities must file FORM 144 when they intend to sell more than 5,000 shares or securities valued at more than $50,000 in a three-month period.
How to fill out FORM 144?
To fill out FORM 144, a filer must provide details such as the name of the issuer, details about the securities being sold, the number of shares, the price at which they were sold, and the name of the person selling the securities, among other details.
What is the purpose of FORM 144?
The purpose of FORM 144 is to provide the SEC with information about the sale of restricted and control securities, preventing insider trading and ensuring fair trading practices.
What information must be reported on FORM 144?
FORM 144 must report the name of the issuer, the title of securities, the date the form is filed, the amount of securities to be sold, the proposed sale price, and the signature of the seller or authorized signer.
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