Series 65: Form 144

Taken from our Series 65 Online Guide

Form 144

Form 144 must be filed in most instances when an insider sells more than 5,000 shares (or $50,000 worth of stock). An insider is someone who is an officer, director, or someone who owns more than 10% of the company. Naturally, when an insider is selling his shares, other investors might want to pay closer attention and may want to follow suit.

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Summary: Corporate SEC Filings
Filing	Purpose
Prospectus	Filed prior to new security being issued; contains all info about the issuer potential investors need to evaluate, and potential risks and rewards before investing
Annual Report	Provided to shareholders annually to summarize the issuer’s financial operations
Form 10-K	More detailed than annual report; financial reports audited by independent firm; filed with the SEC
Form 10-Q	Quarterly version of 10-K; does not need to be audited; appears online for investor and ad