Get the free FORM 144

This document serves as a notice for the proposed sale of securities pursuant to Rule 144 under the Securities Act of 1933, detailing the issuer's information, the seller's relationship to the issuer,

How to fill out form 144

How to fill out FORM 144

1. Begin by entering your full name in the designated field.
2. Provide your contact information, including your address, phone number, and email.
3. Indicate the reason for filing FORM 144 in the appropriate section.
4. Enter details about the securities being sold, including the type, quantity, and value.
5. Include the date of sale and other relevant transaction details.
6. If applicable, provide information on any affiliates associated with the transaction.
7. Review all the information filled in to ensure accuracy.
8. Sign and date the form at the bottom before submission.

Who needs FORM 144?

1. Individuals or entities planning to sell restricted securities.
2. Investors who need to provide notice of securities sales to the SEC.
3. Companies and affiliated persons who are part of a private placement.

People Also Ask about

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.

For pdfFiller’s FAQs

What is FORM 144?

Form 144 is a notice of proposed sale of securities under Rule 144 of the Securities Act of 1933, used by individuals or companies to indicate their intention to sell restricted or control securities.

Who is required to file FORM 144?

Individuals or entities that are selling restricted securities or control securities must file Form 144, particularly if they plan to sell more than 5,000 shares or have a sale amount exceeding $50,000 within a three-month period.

How to fill out FORM 144?

To fill out Form 144, sellers need to provide information including their name, mailing address, and the number of shares they intend to sell, along with details about the issuer and the proposed transaction.

What is the purpose of FORM 144?

The purpose of Form 144 is to provide transparency and regulatory oversight by alerting the SEC and the public about the intended sale of securities by insiders or affiliates, thereby preventing potential market manipulation.

What information must be reported on FORM 144?

Form 144 requires reporting information such as the name and address of the seller, the issuer's name, the nature of the securities, the proposed sale price, and the number of shares to be sold, among other relevant details.