Form 144 API - Restricted Sales Notifications
The Restricted Sales Notification API enables filtering and retrieving Form 144 filings submitted to the SEC EDGAR database. This API accepts search queries as JSON-formatted payloads and returns the matching filings in JSON format.
Form 144 is filed by corporate insiders (officers, directors, and significant shareholders having control over the company) when they intend to sell restricted (e.g. shares acquired in a private offering) or control securities (held by insider or affiliate) under Rule 144 of the Securities Act of 1933. See below for a description of Rule 144 and affected securities. This filing serves as a public notice of planned sales, ensuring transparency in the market for shares that were previously unregistered or subject to trading restrictions. The form must be filed with the SEC before the sale of securities can occur.
A Form 144 filing includes several key details:
- Issuer Information: The name and SEC identifier of the company whose securities are being sold.
- Reporting Person: The insider submitting the sale notice, including their relationship to the company.
- Securities Details: The type, amount, and intended sale price of the securities.
- Past sales: Details of sales of restricted or control securities in the three month prior to the filing.
- Broker or Dealer: The financial entity handling the sale.
- Compliance Information: Statements confirming that the sale meets the Rule 144 holding period, volume limitations, and manner of sale requirements.
Dataset size:
More than 70,000 Form 144 filings originally filed in XML format since October 2022 to present.
Data update frequency:
New filings are indexed and searchable within 300 milliseconds of being published on EDGAR.
Survivorship bias free:
Yes. The dataset includes all Form 144 filings, covering listed and delisted companies.
API Endpoint
The Form 144 API allows searching and filtering all Form 144 filings published on the SEC EDGAR database since 2022 to present. The API accepts search queries as JSON formatted payload and returns the matching Form 144 filings in JSON format. The API endpoint is:
https://api.sec-api.io/form-144
Supported HTTP methods: POST
Request and response content type: JSON
Authentication
To authenticate API requests, use the API key displayed in your user profile. Utilize the API key in one of two ways. Choose the method that best fits your use case:
- Authorization Header: Set the API key as an
Authorizationheader. For instance, before sending aPOSTrequest tohttps://api.sec-api.io/form-144, ensure the header is set as follows:Authorization: YOUR_API_KEY. Do not include any prefix likeBearer. - Query Parameter: Alternatively, append your API key directly to the URL as a query parameter. For example, when making
POSTrequests, use the URLhttps://api.sec-api.io/form-144?token=YOUR_API_KEYinstead of the base endpoint.
Request Structure
The following request parameters are supported:
query(string) - The search criteria in the formatfield:valuedefining thefieldto search in and thevalueto search for in this field. The search expression is written in Lucene syntax and supportsANDandORoperators. Examples:cik:4568orfiledAt:[2019-01-01 TO 2022-12-31].from(integer) - Pagination control to specify the starting position of the results. Max: 10000. Default: 0.size(integer) - The number of Reg A filings to be returned in one response. Default: 50. Max: 50.sort(array) - Specifies the field by which results should be sorted. By default, results are sorted byfiledAtin descending order, starting with the most recent filings:[{ "filedAt": { "order": "desc" } }]
Request Examples
Find the two most recently submitted Form 144 filings for the company with CIK 1277575.
JSON
1
{
2
"query": "cik:1277575",
3
"from": "0",
4
"size": "2",
5
"sort": [{ "filedAt": { "order": "desc" } }]
6
}
Retrieve the Form 144 filings associated with the file number 24R-00102 and sort them in descending order by the filing date.
JSON
1
{
2
"query": "fileNo:24R-00102",
3
"from": "0",
4
"size": "50",
5
"sort": [{ "filedAt": { "order": "desc" } }]
6
}
Find the ten most recent Form 144 filings with a planned sale of securities with an aggregate market value greater than $1,000,000.
JSON
1
{
2
"query": "securitiesInformation.aggregateMarketValue > 1000000",
3
"from": "0",
4
"size": "10",
5
"sort": [{ "filedAt": { "order": "desc" } }]
6
}
Response Structure
When the API locates matches within the Form 144 database, it returns a JSON response including two fields: total and data. The value field inside the total object indicates the total number of Form 144 filings that match the search criteria, while the data field contains an array of Form 144 filing objects that match the query. The maximum number of metadata objects inside thedata array is determined by the size and limited to 50. Each Form 144 filing object comprises the following fields:
id(string) - System-internal unique identifier of the filing record.accessionNo(string) - Unique accession number of the Form 144 filing, e.g.0001277575-24-000006.fileNo(string) - Unique identifier used to reference and track filings of the same process, e.g.020-34763formType(string) - The form type of the SEC filing. Possible Values:144,144/AfiledAt(date) - The timestamp when the filing was accepted by SEC EDGAR, e.g.2024-05-15T16:17:15-04:00.entities(array of object)cik(string) - Central Index Key (CIK) of the reporting entity, e.g.1021408. This is a unique identifier assigned by the SEC to the filer. Leading zeros are omitted.ticker(string) - The stock ticker symbol used to identify the entity, e.g.GOOGL.companyName(string) - The legal name of the issuer as provided in the filing, e.g.ALPHABET INC.irsNo(string) - The Internal Revenue Service (IRS) Employer Identification Number (EIN) of the reporting entity, e.g.,95-1234567.fiscalYearEnd(string) - The fiscal year-end of the reporting entity, represented as a four-digit month-day format, e.g.1231for December 31.stateOfIncorporation(string) - The U.S. state or country where the entity is legally incorporated, represented using a two-letter state code (e.g.,DEfor Delaware) or a country name for non-U.S. entities.sic(string) - The Standard Industrial Classification (SIC) code representing the primary industry of the entity, e.g.,7372for Prepackaged Software.act(string) - The regulatory act under which the entity files its reports, e.g.,1934for the Securities Exchange Act of 1934.fileNo(string) - Unique identifier used to reference and track filings of the same process, e.g.020-34763.filmNo(string) - A unique identifier assigned by the SEC to track a specific filing, e.g.,211234567.
previousAccessionNumber(string) - The unique identifier referencing a previous filing accession number.issuerInfo(object)issuerCik(string) - The Central Index Key (CIK) of the issuer, used to uniquely identify the company in SEC records.issuerTicker(string) - The stock ticker symbol used to identify the issuer, e.g.GOOGL.issuerName(string) - The legal name of the issuer as registered with the SEC.secFileNumber(string) - The SEC file number assigned to the issuer's registration, if available.issuerAddress(object)street1(string) - The primary street address of the issuer's registered location.street2(string) - The secondary street address for the issuer's registered location, if applicable.city(string) - The city in which the issuer's registered address is located.stateOrCountry(string) - The state or country code corresponding to the issuer's registered address.zipCode(string) - The ZIP or postal code for the issuer's registered address.
issuerContactPhone(string) - The contact phone number provided for the issuer.nameOfPersonForWhoseAccountTheSecuritiesAreToBeSold(string) - The name of the individual on whose behalf the securities are being sold.relationshipsToIssuer(string) - The relationship(s) between the selling individual and the issuer. The filing instructions suggestOfficer,Director,10% StockholderandMember of immediate family of any of the foregoingbut all other descriptions are valid as well.
securitiesInformation(array of object)securitiesClassTitle(string) - The title or class of the securities involved in the transaction.brokerOrMarketMakerDetails(object)name(string) - The name of the broker or market maker facilitating the securities transaction.address(object)street1(string) - The primary street address of the broker or market maker.street2(string) - The secondary street address of the broker or market maker, if provided.city(string) - The city where the broker or market maker is located.stateOrCountry(string) - The state or country code for the broker or market maker's address.zipCode(string) - The ZIP or postal code for the broker or market maker's address.
numberOfUnitsToBeSold(number) - The number of security units intended for sale in the transaction.aggregateMarketValue(number) - The total market value of the securities to be sold, typically derived from the unit price multiplied by the number of units.noOfUnitsOutstanding(number) - The total number of securities units outstanding for the issuer at the time of filing.approxSaleDate(date) - The approximate date when the sale of the securities is planned to take place. The date string format isYYYY-MM-DD, e.g.2024-05-17.securitiesExchangeName(string) - The name of the securities exchange where the transaction is to be executed.
securitiesToBeSold(array of object)securitiesClassTitle(string) - The title or class of the securities proposed for sale.acquiredDate(date) - The date on which the securities were acquired prior to the proposed sale. The date string format isYYYY-MM-DD, e.g.2024-05-17natureOfAcquisitionTransaction(string) - A description of the nature of the acquisition transaction, such as an employee stock award.nameOfPersonFromWhomAcquired(string) - The name of the person or entity from whom the securities were acquired, if applicable.isGiftTransaction(boolean) - A boolean flag indicating if the securities were acquired as a gift.donorAcquiredDate(date) - The date on which the donor acquired the securities, applicable if the transaction was a gift. The date string format isYYYY-MM-DD, e.g.2024-05-17amountOfSecuritiesAcquired(number) - The number of securities units acquired that are intended to be sold.paymentDate(date) - The date when payment for the securities acquisition was made, if applicable. The date string format isYYYY-MM-DD, e.g.2024-05-17natureOfPayment(string) - A description of the payment method or terms related to the securities acquisition.
nothingToReportFlagOnSecuritiesSoldInPast3Months(boolean) - A boolean flag indicating whether there have been no securities sales in the past three months.securitiesSoldInPast3Months(array of object)sellerDetails(object)name(string) - The name of the seller involved in securities transactions during the past three months.address(object)street1(string) - The primary street address of the seller in past securities sales.street2(string) - The secondary street address of the seller, if available.city(string) - The city associated with the seller's address in past transactions.stateOrCountry(string) - The state or country code for the seller's address in past securities sales.zipCode(string) - The ZIP or postal code for the seller's address in past transactions.
securitiesClassTitle(string) - The title or class of the securities sold in past transactions.saleDate(date) - The date on which a past securities sale occurred. The date string format isYYYY-MM-DD, e.g.2024-05-17amountOfSecuritiesSold(number) - The number of securities units sold in past transactions.grossProceeds(number) - The gross proceeds generated from the sale of securities in past transactions.
remarks(string) - Additional comments or remarks provided in the submission.noticeSignature(object)noticeDate(date) - The date on which the notice was signed. The date string format isYYYY-MM-DD, e.g.2024-05-17planAdoptionDates(array of date) - A list of dates indicating when the plans are being adopted. The date string format isYYYY-MM-DD, e.g.2024-05-17.signature(string) - The signature of the individual authorizing or submitting the notice.
Response Example
JSON
1
{
2
"total": {
3
"value": 10000,
4
"relation": "gte"
5
},
6
"data": [
7
{
8
"id": "14c7ece60fbb068dbdccb0be165a8927",
9
"accessionNo": "0001968582-25-000183",
10
"fileNo": "001-37580",
11
"formType": "144",
12
"filedAt": "2025-03-13T16:51:34-04:00",
13
"entities": [
14
{
15
"cik": "1652044",
16
"ticker": "GOOG",
17
"companyName": "Alphabet Inc. (Subject)",
18
"irsNo": "611767919",
19
"fiscalYearEnd": "1231",
20
"stateOfIncorporation": "DE",
21
"sic": "7370 Services-Computer Programming, Data Processing, Etc.",
22
"type": "144",
23
"act": "33",
24
"fileNo": "001-37580",
25
"filmNo": "25736580"
26
},
27
{
28
"cik": "1983744",
29
"companyName": "LAWRENCE PAGE TRUST III (Reporting)",
30
"irsNo": "516574378"
31
}
32
],
33
"issuerInfo": {
34
"issuerCik": "1652044",
35
"issuerTicker": "GOOG",
36
"issuerName": "Alphabet, Inc.",
37
"secFileNumber": "001-37580",
38
"issuerAddress": {
39
"street1": "1600 Amphitheatre Parkway",
40
"city": "Mountain View",
41
"stateOrCountry": "CA",
42
"zipCode": "94043"
43
},
44
"issuerContactPhone": "650-253-0000",
45
"nameOfPersonForWhoseAccountTheSecuritiesAreToBeSold": "The Lawrence Page Trust III",
46
"relationshipsToIssuer": "Affiliate"
47
},
48
"securitiesInformation": [
49
{
50
"securitiesClassTitle": "Class A Common Stock",
51
"brokerOrMarketMakerDetails": {
52
"name": "J.P. Morgan Securities LLC",
53
"address": {
54
"street1": "390 Madison Avenue, 6th Floor",
55
"city": "New York",
56
"stateOrCountry": "NY",
57
"zipCode": "10017"
58
}
59
},
60
"numberOfUnitsToBeSold": 16480,
61
"aggregateMarketValue": 2736504,
62
"noOfUnitsOutstanding": 5833000000,
63
"approxSaleDate": "2025-03-13",
64
"securitiesExchangeName": "NASDAQ"
65
},
66
{
67
"securitiesClassTitle": "Class C Capital Stock",
68
"brokerOrMarketMakerDetails": {
69
"name": "J.P. Morgan Securities LLC",
70
"address": {
71
"street1": "390 Madison Avenue, 6th Floor",
72
"city": "New York",
73
"stateOrCountry": "NY",
74
"zipCode": "10017"
75
}
76
},
77
"numberOfUnitsToBeSold": 16480,
78
"aggregateMarketValue": 2768640,
79
"noOfUnitsOutstanding": 5497000000,
80
"approxSaleDate": "2025-03-13",
81
"securitiesExchangeName": "NASDAQ"
82
}
83
],
84
"securitiesToBeSold": [
85
{
86
"securitiesClassTitle": "Class A Common Stock",
87
"acquiredDate": "2006-05-26",
88
"natureOfAcquisitionTransaction": "Distribution for no consideration",
89
"nameOfPersonFromWhomAcquired": "J.P. Morgan Trust Company of Delaware & Lawrence Page as trustees of the GRAT dated 03/15/04",
90
"isGiftTransaction": false,
91
"amountOfSecuritiesAcquired": 16480,
92
"paymentDate": "2006-05-26",
93
"natureOfPayment": "N/A"
94
},
95
{
96
"securitiesClassTitle": "Class C Capital Stock",
97
"acquiredDate": "2014-04-02",
98
"natureOfAcquisitionTransaction": "Stock Dividentd",
99
"nameOfPersonFromWhomAcquired": "Issuer",
100
"isGiftTransaction": false,
101
"amountOfSecuritiesAcquired": 16480,
102
"paymentDate": "2014-04-02",
103
"natureOfPayment": "Stock Dividend"
104
}
105
],
106
"nothingToReportFlagOnSecuritiesSoldInPast3Months": false,
107
"securitiesSoldInPast3Months": [
108
{
109
"sellerDetails": {
110
"name": "The Lawrence Page Trust",
111
"address": {
112
"street1": "C/o Alphabet, Inc.",
113
"street2": "1600 Amphitheatre Parkway",
114
"city": "Mountain View",
115
"stateOrCountry": "CA",
116
"zipCode": "94043"
117
}
118
},
119
"securitiesClassTitle": "Class A Common Stock",
120
"saleDate": "2025-01-10",
121
"amountOfSecuritiesSold": 53980,
122
"grossProceeds": 10412616
123
},
124
{
125
"sellerDetails": {
126
"name": "The Lawrence Page Trust",
127
"address": {
128
"street1": "C/o Alphabet, Inc.",
129
"street2": "1600 Amphitheatre Parkway",
130
"city": "Mountain View",
131
"stateOrCountry": "CA",
132
"zipCode": "94043"
133
}
134
},
135
"securitiesClassTitle": "Class C Capital Stock",
136
"saleDate": "2025-01-10",
137
"amountOfSecuritiesSold": 53980,
138
"grossProceeds": 10475881
139
}
140
],
141
"remarks": "The shares filed today will be sold by the Lawrence Page Trust III, J.P. Morgan Trust Company of Delaware as Trustee",
142
"noticeSignature": {
143
"noticeDate": "2025-03-13",
144
"planAdoptionDates": [
145
"2020-11-30"
146
],
147
"signature": "/s/ J.P. Morgan Securities LLC as agent and attorney-in-fact for The Lawrence Page Trust III"
148
}
149
},
150
// cut off for brevity
151
]
152
}
153
Rule 144 Key Aspects
Rule 144 under the Securities Act of 1933 provides a safe harbor exemption that allows the public resale of restricted and control securities without SEC registration, under specific conditions.
Provisions of Rule 144
- Permits Resale of Restricted and Control Securities
- Restricted Securities: Shares acquired in private placements or other unregistered offerings.
- Control Securities: Shares held by affiliates (e.g., officers, directors, or large shareholders who control the company).
- Holding Period Requirement
- For Reporting Companies (SEC filers): At least 6 months if the issuer is current in its SEC reporting.
- For Non-Reporting Companies: At least 1 year before selling.
- Volume Limitations (for Affiliates)
If the seller is an affiliate of the company, the amount of securities sold within a three-month period is limited to the greater of:
- 1% of the outstanding shares of the company, or
- The average weekly trading volume over the past four weeks.
These restrictions do not apply to non-affiliates after the holding period.
- Manner of Sale Requirements (for Affiliates)
- Must be sold through broker transactions or market makers.
- No solicitation of buyers is allowed.
- Form 144 Filing Requirement (for Large Sales)
- Only for affiliates, if selling more than 5,000 shares or $50,000 in value within a three-month period.
- Must be filed before the sale order is placed.
Rationale for SEC Rule 144
- Allows investors and insiders to sell securities without full SEC registration.
- Helps ensure that sales don't manipulate the market or violate investor protections.
Restricted and Control Securities in Form 144
Restricted Securities
Restricted securities are securities acquired in private, unregistered transactions. They are not freely tradable in public markets until specific conditions under SEC Rule 144 are met.
Examples of restricted securities include:
- Stock acquired through private placements
- Employee stock benefit plans
- Securities obtained via mergers or reorganization
Control Securities
Control securities are held by affiliates of the issuing company, such as directors, officers, or major shareholders. These securities are subject to trading limitations under Rule 144, even if they were acquired in open-market transactions.
Examples of control securities include:
- Shares held by a company CEO
- Stock owned by a board member
- Large holdings of a 10%+ shareholder
References
For more information about Form 144 filings, visit the following SEC websites: