Sec Form 144 PDF Details

Understanding the complexities of the Form 144 can be essential for individuals and entities engaged in selling securities pursuant to Rule 144 under the Securities Act of 1933. Filed with the United States Securities and Exchange Commission (SEC), this notice serves as a disclosure of a proposed sale of securities, necessitating the submission of three copies alongside the initiation of a sale or the placing of an order with a broker. The form encompasses critical details such as the identity and contact information of both the issuer and the person for whom the securities are to be sold, their relationship, and specifics regarding the securities like their class, number of shares, aggregate market value, and intended date of sale. Additionally, the form demands information regarding the securities' acquisition, payment details, and records of any sales within the past three months to comply with regulatory requirements. Ensuring accuracy in these declarations is paramount, as any misstatements or omissions can lead to severe penalties, highlighting the form's role not just as a procedural step but as a safeguard for transparency and accountability in the securities market.

QuestionAnswer
Form NameSec Form 144
Form Length2 pages
Fillable?No
Fillable fields0
Avg. time to fill out30 sec
Other namesrule 144 filings, form 144 sec, sec rule 144, form sec 144

Form Preview Example

 

 

 

 

UNITED STATES

 

 

OMB APPROVAL

 

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

OMB Number:

3235-0101

 

 

 

Washington, D.C. 20549

 

 

Expires:

July 31, 2023

 

 

 

 

 

 

 

 

 

Estimated average burden

 

 

 

 

FORM 144

 

 

hours per response ........... 1.00

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SEC USE ONLY

 

 

NOTICE OF PROPOSED SALE OF SECURITIES

 

 

 

 

 

 

DOCUMENT SEQUENCE NO.

 

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale

CUSIP NUMBER

 

 

 

or executing a sale directly with a market maker.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1 (a) NAME OF ISSUER (Please type or print)

 

 

 

 

(b) IRS IDENT. NO.

(c) S.E.C. FILE NO.

 

WORK LOCATION

 

 

 

 

 

 

 

ZIP CODE

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1 (d) ADDRESS OF ISSUER

STREET

 

CITY

STATE

 

(e) TELEPHONE NO.

 

 

 

(b)

 

 

AREA CODE

I

NUMBER

2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES

 

 

RELATIONSHIP TO

(c) ADDRESS STREET

CITY

STATE

ZIP CODE

ARE TO BE SOLD

 

 

 

ISSUER

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

3(a)

Title of the

Class of

Securities

To Be Sold

(b)

Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities

SEC USE ONLY

Broker-Dealer

File Number

(c)

Number of Shares

or Other Units

To Be Sold

(See instr. 3(c))

(d)

Aggregate

Market

Value

(See instr. 3(d))

(e)

Number of Shares

or Other Units

Outstanding

(See instr. 3(e))

(f)

Approximate

Date of Sale

(See instr. 3(f))

(MO. DAY YR.)

(g)

Name of Each

Securities

Exchange

(See instr. 3(g))

INSTRUCTIONS:

3 . (a)

Title of the class of securities to be sold

1. (a)

Name of issuer

(b)

Name and address of each broker through whom the securities are intended to be sold

(b)

Issuer’s I.R.S. Identification Number

(c)

Number of shares or other units to be sold (if debt securities, give the aggregate face amount)

(c)

Issuer’s S.E.C. file number, if any

(d)

Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice

(d)

Issuer’s address, including zip code

(e)

Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown

(e)

Issuer’s telephone number, including area code

 

by the most recent report or statement published by the issuer

 

 

(f)

Approximate date on which the securities are to be sold

2 . (a)

Name of person for whose account the securities are to be sold

(g)

Name of each securities exchange, if any, on which the securities are intended to be sold

(b)Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)

(c)Such person’s address, including zip code

Potential persons who are to respond to the collection of information contained in this form are not

 

required to respond unless the form displays a currently valid OMB control number.

SEC 1147 (08-07)

 

TABLE I –– SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

Title of

the Class

Date you Acquired

Nature of Acquisition Transaction

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

Amount of

Securities Acquired

Date of Payment

Nature of Payment

INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

TABLE II –– SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

Name and Address of Seller

Title of Securities Sold

Date of Sale

Amount of

Securities Sold

Gross Proceeds

REMARKS:

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

DATE OF NOTICE

 

(SIGNATURE)

DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.Any copies not manually signed shall bear typed or printed signatures.

ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)

SEC 1147 (02-08)

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This PDF form will require you to enter some specific details; in order to ensure correctness, you need to bear in mind the guidelines further down:

1. It is advisable to complete the fillable sec 144 form accurately, thus be attentive when filling out the parts that contain all these blank fields:

Simple tips to complete sec 144 form stage 1

2. After performing the previous part, go on to the subsequent stage and complete the essential details in these blanks - and with respect to the payment of, Name of Person from Whom Acquired, Nature of Acquisition Transaction, Securities Acquired, Amount of, Title of the Class, Date you Acquired, Nature of Payment, INSTRUCTIONS, If the securities were purchased, Furnish the following information, TABLE II SECURITIES SOLD DURING, Name and Address of Seller, Title of Securities Sold, and Date of Sale.

sec 144 form completion process explained (stage 2)

3. The third step is generally hassle-free - fill out all of the form fields in REMARKS, INSTRUCTIONS See the definition of, ATTENTION The person for whose, the current and prospective, disclosed If such person has, b under the Exchange Act by, instruction given that person, DATE OF NOTICE, SIGNATURE, DATE OF PLAN ADOPTION OR GIVING OF, IF RELYING ON RULE B, The notice shall be signed by the, of the notice shall be manually, ATTENTION Intentional, and SEC to finish this segment.

Stage number 3 in filling in sec 144 form

Regarding ATTENTION The person for whose and REMARKS, be certain that you don't make any mistakes here. Both of these could be the most significant ones in the file.

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