Form 144 is the U.S. Securities and Exchange Commission (SEC) form titled Notice of proposed sale of securities pursuant to Rule 144. The SEC lists it on its forms index under the Securities Act of 1933 and in its Investors category, with the SEC reference code SEC1147. On this page you can fill out Form 144 online on FillingPDF and download or print the completed PDF. The original PDF is published by the SEC at https://www.sec.gov/files/form144.pdf.
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What is 144?
Form 144, Notice of proposed sale of securities pursuant to Rule 144, is the U.S. Securities and Exchange Commission (SEC) form that gives notice of a proposed sale of securities under Rule 144.
The SEC publishes it on its forms index as form 144, with the reference code SEC1147. The index files it under the Securities Act of 1933 and under Investors, which tells you the statute it belongs to and the audience the SEC places it with.
Its title sets its scope. It is a notice, and it concerns a proposed sale made pursuant to Rule 144. That makes it different from the other Securities Act of 1933 forms on the same index, such as Form 1-A, the Regulation A Offering Statement, and Form 1-K, Annual Reports and Special Financial Reports. It is also different from the periodic reports the index lists under the Securities Exchange Act of 1934, such as Form 10-K and Form 10-Q.
The SEC is the federal agency that issues the form. The completed form is a notice about a sale you propose to make, not a registration of securities and not an application for approval.
Who needs to file 144?
The SEC's forms index places Form 144 in its Investors category and under the Securities Act of 1933. The audience for the form is therefore people who propose to sell securities in reliance on Rule 144, as the form's title says: a notice of proposed sale of securities pursuant to Rule 144.
Use Form 144 only for that purpose. If your transaction is not a proposed sale under Rule 144, a different SEC form probably applies. The index lists many others, grouped by statute and by audience, including offering statements, annual reports, quarterly reports and registration forms.
The listing does not say who must file, who is exempt, or whether someone may file on another person's behalf. Before you complete the form, read the form's own text and the SEC's rules at sec.gov to confirm that you are in the group that uses it, and ask a securities professional if you are unsure.
When to file 144
The triggering event for Form 144 is a proposed sale of securities under Rule 144. The form is a notice of that proposed sale, so it relates to a sale you plan to make, as its title says.
The SEC's forms index sets no deadline, filing window or renewal cycle for Form 144, and none is stated there. For the exact timing rule that applies to your sale, check the text of Rule 144 and the form itself at https://www.sec.gov/files/form144.pdf, or ask the SEC.
How to fill out 144
Open the fillable Form 144 PDF
Open the form on this page. It is the SEC's Form 144, Notice of proposed sale of securities pursuant to Rule 144, published at https://www.sec.gov/files/form144.pdf.
Confirm Form 144 is the right form
Check that your transaction is a proposed sale of securities under Rule 144. The SEC lists Form 144 under the Securities Act of 1933 for Investors.
Read the form's printed headings
Go through each heading and item on the form before you type, so you know what the SEC asks you to provide.
Enter the information each item asks for
Complete every item that applies to your proposed sale, following the wording printed on the form. Enter dates and amounts in the format the form shows.
Check your entries against the SEC's materials
Compare what you entered with the form's text and the Rule 144 materials at sec.gov, and correct anything that does not match.
Review and download the completed PDF
Check every entry for accuracy, then download or print the completed PDF from FillingPDF and submit it through the SEC's channels.
How to submit 144
Form 144 is an SEC form, so it is submitted through the channels the SEC sets for it. The SEC's forms index lists the form under its Submit Filings pages and publishes the PDF at https://www.sec.gov/files/form144.pdf. It gives no mailing address, portal or appointment rule for this form. Before you file, confirm the current method with the SEC at sec.gov and complete the form as the SEC requires. FillingPDF lets you fill out and download the PDF; submission follows the SEC channels described above.
Common mistakes to avoid
- Using Form 144 for a sale that is not made pursuant to Rule 144; the form's title limits it to a notice of a proposed sale under that rule.
- Treating Form 144 as a report of a sale already completed; it is titled a notice of proposed sale.
- Writing SEC1147 as the form number; SEC1147 is the SEC reference code listed beside Form 144 on the forms index, and the form is numbered 144.
- Confusing Form 144 with the offering or reporting forms on the same SEC index, such as Form 1-A, Form 10-K or Form 10-Q, which serve different purposes.
- Working from a copy of the PDF saved elsewhere instead of the current one the SEC publishes at https://www.sec.gov/files/form144.pdf.
Frequently asked questions
What is Form 144?
Form 144 is the SEC form titled Notice of proposed sale of securities pursuant to Rule 144. It gives notice of a sale of securities that is proposed under Rule 144. The SEC lists it on its forms index under the Securities Act of 1933 and in its Investors category.
What does SEC1147 mean on Form 144?
SEC1147 is the reference code the SEC's forms index shows next to Form 144. It is not the form number. The form is numbered 144, so use "Form 144" when you refer to it.
Which SEC category is Form 144 listed under?
The SEC's forms index lists Form 144 under the Securities Act of 1933 and under Investors. It is not one of the Securities Exchange Act of 1934 periodic reports, such as Form 10-K or Form 10-Q.
Can I fill out Form 144 online?
Yes. You can fill out the Form 144 PDF online on FillingPDF and download or print it. FillingPDF is an independent service and does not file the form with the SEC; you submit it through the SEC's channels.
Where can I find the official Form 144 PDF?
The SEC publishes Form 144 at https://www.sec.gov/files/form144.pdf and lists it on its forms index at https://www.sec.gov/submit-filings/forms-index. Use the SEC's current PDF as the reference for the form.
Is Form 144 the same as the 144 form on the SEC's index?
Yes. "144 form" and "Form 144" name the same document: the SEC's Notice of proposed sale of securities pursuant to Rule 144, listed on the SEC forms index as 144.
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