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Sample Rule 144 documents on Practical Law


Resales Under Rule 144

This note discusses the Section 4(a)(1) exemption for resales of securities from the registration requirements of the Securities Act and the safe harbor provided by Rule 144 of the Securities Act

Rule 144 Resales Checklist

A checklist to aid counsel in determining whether and how Rule 144 may apply to a proposed resale of securities


Securities Act Restrictive Legends and Rule 144 Sales

A discussion of the purpose of restrictive legends driven by the Securities Act of 1933 and parties and documents involved in removing a Securities Act restrictive legend in the context of Rule 144 resales of restricted equity securities


Rule 144 Opinion: Non-Affiliate Sale of Restricted Shares

A standard form to be used as a starting point for drafting an opinion to a reporting or non-reporting issuer’s transfer agent in connection with a sale of restricted stock


Rule 144 Opinion: Affiliate Sale of Restricted Shares

A standard form to be used as a starting point for drafting an opinion to an issuer's transfer agent in connection with a sale by an affiliate of the issuer of restricted stock


Rule 144 Seller’s Representation Letter: Non-Affiliate Sale of Restricted Securities

A standard form to be used as a starting point for drafting a representation letter to be delivered by a non-affiliate seller of restricted securities in reliance on Rule 144 under the Securities Act


Rule 144 Seller’s Representation Letter: Affiliate Sale of Restricted or Control Securities

A standard form to be used as a starting point for drafting a representation letter to be delivered by an affiliate seller of restricted securities in reliance on Rule 144 under the Securities Act.


Common Capital Markets Transaction Chains Flowcharts

Flowcharts providing a structural overview of common chains of capital markets transactions in the context of primary offerings through underwriters or initial purchasers, private equity, and PIPE transactions, and grants to management and employees

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