Get the free Rule 144 Sellers Representation (ltr C)(ammended)

Sellers Representation Letter Sales of Restricted Securities by an Affiliate This letter can be used for both 1934 Act reporting companies (see #3, below) and nonreporting companies (see #4, below).

How to fill out rule 144 sellers representation

How to fill out rule 144 sellers representation

1. To fill out Rule 144 Sellers Representation, follow these steps:
2. Gather the necessary information such as your name, contact details, and social security number.
3. Identify the specific securities you own that you intend to sell under Rule 144.
4. Consult with an attorney or a financial advisor to ensure you comply with all the requirements of Rule 144.
5. Provide accurate details about the acquisition of the securities, including the date, price, and manner of acquisition.
6. Disclose any affiliations with the company issuing the securities, if applicable.
7. Sign and date the Rule 144 Sellers Representation form.
8. Submit the completed form to the appropriate regulatory authority, such as the Securities and Exchange Commission (SEC).
9. Keep a copy of the form and any supporting documentation for your records.

Who needs rule 144 sellers representation?

1. Rule 144 Sellers Representation is required for individuals who:
2. - Own restricted securities and want to sell them in compliance with Rule 144.
3. - Are affiliated with the company issuing the securities and plan to sell them.
4. - Intend to sell securities acquired through private placements.
5. - Have held the securities for a specified holding period and meet all the eligibility criteria stated in Rule 144.

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What is rule 144 sellers representation?

Rule 144 sellers representation is a declaration made by sellers of restricted and control securities that they have complied with the requirements set forth under Rule 144 of the Securities Act of 1933 regarding their right to sell these securities.

Who is required to file rule 144 sellers representation?

Individuals or entities intending to sell restricted or control securities must file a Rule 144 sellers representation, including affiliates of the issuing company and those who hold securities acquired through private placements.

How to fill out rule 144 sellers representation?

To fill out a Rule 144 sellers representation, one must provide relevant information about the seller, the securities being sold, compliance with holding periods, and any applicable restrictions. This is typically done using Form 144.

What is the purpose of rule 144 sellers representation?

The purpose of the Rule 144 sellers representation is to ensure compliance with federal securities laws by providing a legal framework for the sale of restricted and control securities to protect the interests of both sellers and buyers.

What information must be reported on rule 144 sellers representation?

The Rule 144 sellers representation must report information including the seller's identity, the relationship to the issuing company, the number of securities being sold, the date of purchase, and compliance with the holding period requirements.