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Syndicate Legal Advisory Services provides nationwide legal document preparation services for affiliates and others preparing Form 144 notices of proposed sale of securities under Rule 144 of the Securities Act of 1933. We prepare Form 144 and related supporting materials based on the proposed sale information and specific instructions you provide. 

 

Documents Commonly Prepared

We prepare documents associated with a Form 144 filing, including:

  • Form 144 (Notice of Proposed Sale of Securities Pursuant to Rule 144): Completion of the notice covering the issuer, the securities to be sold, the person for whose account the securities are to be sold, the approximate date of sale, the amount of securities, the nature of the acquisition, and related information (including any Rule 10b5-1 plan adoption date if applicable), based on the information you supply.

  • Amendments: Preparation of amended notices incorporating updates or corrections, based on the corrected or updated details you provide.

  • Related Supporting Materials: Organization of any accompanying documentation or information referenced in the form, based on the materials you supply.

 

Documents are prepared for electronic filing through the SEC’s EDGAR system. Form 144 is the notice of proposed sale required under Rule 144 when an affiliate (or a person selling on behalf of an affiliate) proposes to sell securities in reliance on the rule in any three-month period exceeding 5,000 shares or units or having an aggregate sale price exceeding $50,000; it must generally be filed concurrently with placing the sell order with a broker (or at the time of executing a sale if no broker is involved); electronic filing is required for issuers subject to Exchange Act reporting; clients remain fully responsible for determining the filing obligation, satisfaction of all Rule 144 conditions (including holding period, current public information, volume limitations, and manner of sale), the accuracy and completeness of all information, timely EDGAR filing, and compliance with Rule 144 and the Securities Act.

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DISCLAIMER: The information on this site is for informational purposes only and should not be taken as legal or financial advice. Requesting additional information or submitting information through this site or any contact form does not mean an attorney-client, or any other professional services provider-client relationship has been formed. Syndicate Legal Advisory Services is a legal advisory firm. As a legal advisory firm, Syndicate Legal Services provides guidance, analysis, compliance support, and strategic counsel on legal matters, but does not litigate, appear in court, or formally represent clients in legal proceedings.

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