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RestrictedStock Handling Guidelines, Rule 144 Affiliate Please do not fax this form; an original is required. PO Box 2226 Omaha, NE 681032226 Please keep in mind that there are many exemptions from

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What is restricted-stock handling rule 144?

Rule 144 is a Securities and Exchange Commission (SEC) regulation that provides a safe harbor exemption from the registration requirements for the resale of restricted securities. Restricted stock refers to shares of a company's stock that are acquired through private placement, employee stock option plans, or other means that impose certain resale restrictions. Rule 144 outlines the conditions under which restricted stock can be sold or transferred to the public without requiring registration with the SEC.

Who is required to file restricted-stock handling rule 144?

Any person or entity who wishes to sell or transfer restricted stock to the public must comply with the requirements of Rule 144. This includes both individual investors and companies.

How to fill out restricted-stock handling rule 144?

Filing Rule 144 involves submitting a notice of sale on Form 144 to the SEC. The form must include information about the issuer of the stock, the nature of the transaction, and details about the seller and the stock being sold. Additionally, the seller must provide certain supporting documentation, such as a copy of the stock purchase agreement or other evidence of the acquisition of the restricted stock.

What is the purpose of restricted-stock handling rule 144?

The purpose of Rule 144 is to provide a framework for the resale of restricted securities in a manner that protects investors and promotes the integrity of the securities markets. By requiring certain disclosures and conditions, the rule aims to prevent fraud and manipulation associated with the sale of restricted stock.

What information must be reported on restricted-stock handling rule 144?

When filing Rule 144, the seller must provide information about the issuer of the stock, the nature of the transaction, and details about the seller and the stock being sold. This includes information such as the number of shares being sold, the date of acquisition of the restricted stock, and any relationship between the seller and the issuer.

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