SEC Form 144 (SEC 1147) 2007-2026 free printable template

Get Form

pdfFiller is not affiliated with any government organization

Fill out

Complete the form online in a simple drag-and-drop editor.

eSign

Add your legally binding signature or send the form for signing.

Share

Share the form via a link, letting anyone fill it out from any device.

Export

Download, print, email, or move the form to your cloud storage.

Why pdfFiller is the best tool for your documents and forms

Learn more about security

End-to-end document management

From editing and signing to collaboration and tracking, pdfFiller has everything you need to get your documents done quickly and efficiently.

Accessible from anywhere

pdfFiller is fully cloud-based. This means you can edit, sign, and share documents from anywhere using your computer, smartphone, or tablet.

Secure and compliant

pdfFiller lets you securely manage documents following global laws like ESIGN, CCPA, and GDPR. It's also HIPAA and SOC 2 compliant.

What is SEC Form 144 (SEC 1147)

The Form 144 Notice of Proposed Sale of Securities is a legal document used by individuals or entities to notify the SEC of a planned securities sale under Rule 144 of the Securities Act of 1933.

pdfFiller scores top ratings on review platforms

Show more Show less

Fill fillable SEC 144 (SEC 1147) form: Try Risk Free

Rate free SEC 144 (SEC 1147) form

4.8

satisfied

63 votes

Who needs SEC Form 144 (SEC 1147)?

Explore how professionals across industries use pdfFiller.

SEC Form 144 (SEC 1147) is needed by:

Individuals planning to sell securities
Corporations involved in securities transactions
Legal professionals handling securities filings
Compliance officers within finance firms
Investors managing personal portfolios
Market analysts assessing compliance with securities regulations

Comprehensive Guide to SEC Form 144 (SEC 1147)

What is the Form 144 Notice of Proposed Sale of Securities?

The Form 144 is a legal document that plays a critical role in the U.S. securities market, specifically under Rule 144 of the Securities Act of 1933. This form is used by individuals or entities planning to sell securities, ensuring compliance with regulatory requirements established by the Securities and Exchange Commission (SEC).

This notice serves as a formal announcement of a proposed sale, requiring essential information about the issuer, the securities involved, and the confirmation by the signer. Understanding the significance of the Form 144 is crucial for anyone engaged in the sale of securities.

Purpose and Benefits of the Form 144 Notice of Proposed Sale of Securities

Filing the Form 144 is essential for maintaining compliance with SEC regulations. It helps protect sellers legally by providing clarity in securities transactions.

Ensures compliance with federal securities laws.
Offers legal safeguards during the sale of securities.
Facilitates transparency and traceability in transactions.

Not filing this form can lead to potential legal repercussions, including fines or restrictions on future sales. Understanding its benefits strengthens the case for diligent compliance among sellers.

Who Needs the Form 144 Notice of Proposed Sale of Securities?

The Form 144 must be filed by specific individuals and entities who are directly involved in the sale of securities. This primarily includes corporate executives and major shareholders who qualify as the "Person for Whose Account the Securities are to be Sold."

These parties are typically required to file the form in relation to the timing of their securities sale to ensure compliance with SEC regulations.

How to Fill Out the Form 144 Notice of Proposed Sale of Securities Online

Completing the Form 144 online is a straightforward process when using platforms like pdfFiller. Before starting, gather all necessary information to ease the process.

Identify the "Name of Issuer" and securities to be sold.
Ensure you have a clear understanding of required signatures.
Know the "Date of Notice" you intend to submit.

This user-friendly online document significantly streamlines the filing process, making it easier to complete and submit accurately.

Common Errors to Avoid When Completing the Form 144 Notice of Proposed Sale of Securities

To ensure a smooth filing process, be aware of common mistakes associated with the Form 144. Incomplete fields or incorrect signatures can lead to delays or rejections.

Double-check all information for accuracy.
Utilize pdfFiller’s review tools to verify completeness.

By being diligent and thorough in this step, you can reduce the risk of filing errors significantly.

Submitting the Form 144 Notice of Proposed Sale of Securities

The filing process for the Form 144 can be completed electronically or via traditional mail. Familiarizing yourself with specific submission methods will help streamline the process.

Follow detailed instructions for electronic submission via SEC website.
Know important deadlines and processing times to avoid late filings.
Be aware of any involved fees and potential fee waivers.

This preparation is essential to ensure a timely and compliant submission.

What Happens After You Submit the Form 144 Notice of Proposed Sale of Securities?

After submission, there are several important next steps to follow. First, you may receive confirmation from the SEC regarding your filing.

Check the status of your application through the SEC’s online portal.
Be aware of common reasons for rejection and steps to amend the form if necessary.

Staying informed about the post-submission process enhances your readiness for any required follow-ups.

Why Use pdfFiller for Your Form 144 Notice of Proposed Sale of Securities?

Using pdfFiller significantly simplifies the process of completing the Form 144. The platform offers multiple functionalities that streamline document management.

Editing capabilities allow for easy modifications to the form.
eSigning functionality enhances compliance and security.
User-friendly interface improves the overall experience.

Security features ensure that your sensitive data is protected while handling legal documents.

Security and Compliance with the Form 144 Notice of Proposed Sale of Securities

When dealing with the Form 144, prioritizing data security is paramount. pdfFiller implements stringent security measures, including 256-bit encryption and compliance with HIPAA and GDPR.

Understand the importance of privacy when handling sensitive documents.
Follow best practices for safeguarding your personal information.

By adhering to these guidelines, you ensure both legal and personal data protection during the filing process.

Get Started with Your Form 144 Notice of Proposed Sale of Securities Today

To begin your journey with the Form 144, utilize pdfFiller for a seamless completion process. Embrace the ease of digital form management and take advantage of the tools and resources available.

Starting today will pave the way for efficient and compliant handling of your securities filings.

Last updated on Aug 23, 2026

How to fill out the SEC Form 144 (SEC 1147)

1.

Access pdfFiller and search for 'Form 144 Notice of Proposed Sale of Securities' in the templates section.
2.

Open the downloaded form within the pdfFiller interface.
3.

Begin by filling in the 'Name of Issuer' field with the issuer's full title, making sure it is clear and accurate.
4.

Enter details regarding the securities to be sold, including the number of shares and type of securities, in the designated sections.
5.

Complete the information about the person for whose account the securities are to be sold. This includes their name and relevant identification.
6.

Review the form thoroughly, ensuring all fields are filled accurately. Use the instructions provided within pdfFiller to avoid common mistakes.
7.

Once all information is completed, digitally sign the form as required. Ensure that your signature matches the name provided.
8.

Finalize the document by saving it to your pdfFiller account. You can also download it to your device for offline access.
9.

If needed, submit the form directly through pdfFiller to the SEC by following the submission guidelines provided.

FAQs

If you can't find what you're looking for, please contact us anytime!

Contact Support

Who is eligible to file Form 144?

Any individual or entity planning to sell securities in accordance with Rule 144 of the Securities Act of 1933 is eligible to file Form 144. This includes current owners of the securities.

What is the deadline for submitting Form 144?

Form 144 must be filed with the SEC at least 6 hours before any sale of securities takes place. Ensure you submit it timely to avoid compliance issues.

How do I submit Form 144?

Form 144 can be submitted electronically via the SEC's EDGAR system. Alternatively, you can also print and mail the form if required by the SEC guidelines.

What supporting documents are required for Form 144?

Typically, Form 144 needs no additional documents at filing, but you may need to provide proof of identity and ownership if requested by the SEC during review.

What are common mistakes to avoid when filling out Form 144?

Common mistakes include incorrect issuer information, failing to provide signatures, and incomplete fields. Review the form carefully to ensure accuracy before submission.

How long does it take for Form 144 to be processed?

SEC processing times may vary, but it typically takes a few days to a week for the SEC to review and process Form 144 after submission.

Are there fees associated with filing Form 144?

Generally, there are no filing fees for Form 144 when submitted electronically. However, check with the SEC for any possible fees related to specific situations or amendments.