Form 144/A Filings

What Is SEC Form 144/A?

SEC Form 144/A is an amendment to Form 144 (Notice of Proposed Sale of Securities) used in connection with resales under Rule 144 of the Securities Act of 1933. It is filed to revise or correct information previously reported, such as changes to the amount to be sold, the intended sale details, or other filer and transaction information reflected in the original notice.

This amendment is typically filed when an affiliate or other selling security holder needs to update an earlier Form 144 submission before completing the proposed sale. Because Form 144 is a notice tied to a proposed transaction, Form 144/A is event-driven and filed as needed when there is a material change to the originally disclosed information.

Form 144/A supports transparency by ensuring that the public record reflects the most current details regarding a proposed Rule 144 sale. While it updates the notice filing, it does not by itself determine whether a seller’s transaction qualifies for Rule 144, and filers typically coordinate submission timing and updates with their advisors and service providers.

Key elements typically found in SEC Form 144/A include:

• Name and address of the seller and relationship to the issuer
• Title and amount of securities to be sold (as amended)
• Broker-dealer or market maker and transaction details (as amended)
• Aggregate market value/sales price information (as amended)
• Issuer and security identification details (including CUSIP, as applicable)
• Confirmation that the filing is an amendment to a prior Form 144

SEC Form 144/A Filing Deadlines

SEC Form 144/A does not have a fixed periodic deadline. Instead, it is filed as needed to amend a previously filed Form 144 when information changes in connection with a proposed Rule 144 sale. Timing is important because Form 144 notices are tied to proposed sales and are expected to reflect current, accurate transaction details.

Key Things to Know About Form 144/A Filing Rules

• Amends a Prior Form 144: Form 144/A is used specifically to update information previously reported on Form 144, rather than serving as an original notice.
• Event-Driven, Not Periodic: There is no quarterly or annual filing cycle—Form 144/A is filed only when changes to the proposed sale or filer information make an amendment necessary.
• Used for Rule 144 Sale Notices: The filing relates to proposed resales under Rule 144 and is commonly associated with affiliate sales that meet the Form 144 threshold requirements.
• Accuracy and Timing Matter: Because the notice is tied to a proposed transaction, amendments should be filed promptly when updates are needed to keep the public record current.
• Does Not Replace Rule 144 Conditions: Filing Form 144 or Form 144/A does not by itself establish Rule 144 eligibility; the transaction must still satisfy applicable Rule 144 conditions.

To monitor insider resale notices and amendments, our platform helps you track filings like Form 144 and Form 144/A alongside related issuer and market activity, and it can be complemented with broader filing agent insights to understand how filings are submitted across EDGAR workflows.