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Get the free 144 No. 1 - 2021 Audit Exemption Short Form.xlsx

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DocuSign Envelope ID: FFBD15B7979747D68C9C7BDF7154C79FAPPLICATION FOR EXEMPTION FROM AUDIT SHORT FORM NAME OF GOVERNMENT ADDRESSCONTACT PERSON PHONE EMAIL Factor the Year Ended 12/31/20 or fiscal
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144 No 1 refers to a specific form used for reporting certain financial transactions involving securities, typically used by underwriters or issuers.
Individuals and entities that are selling restricted or control securities typically file 144 No 1, including underwriters and company executives.
To fill out 144 No 1, individuals must provide personal information, details about the securities being sold, and comply with the guidelines set by the SEC.
The purpose of 144 No 1 is to provide regulatory authorities with information about sales of restricted or control securities to ensure compliance with securities laws.
Information that must be reported includes the name of the seller, the type and amount of securities being sold, dates of transactions, and any relevant affiliations.
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