Non-Affiliate Shareholder's Representations Letter
This document serves as a formal request to remove restrictive legends from securities under Rule 144. It outlines the shareholder's representations and eligibility to ensure compliance with securities regulations. Use this file to facilitate a smoother transaction of your shares.
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How do I fill this out?
Filling out this document is straightforward. Begin by providing your personal details, including your shareholder information and the company's current name. Ensure that all representations made in the letter are accurate to avoid complications.
How to fill out the Non-Affiliate Shareholder's Representations Letter?
1
Enter your name and address at the top of the letter.
2
Provide the current name of the issuer and any former names if applicable.
3
List the bank or brokerage firm details and a contact person.
4
Indicate the number and type of shares you are requesting the legend removal for.
5
Make sure to sign and print your name at the bottom.
Who needs the Non-Affiliate Shareholder's Representations Letter?
1
Investors looking to sell restricted securities who are not company affiliates.
2
Shareholders needing to comply with SEC regulations for securities transactions.
3
Broker-dealers requiring confirmation of shareholder status for stock transfers.
4
Attorneys assisting clients with legal documentation for stock sales.
5
Companies involved in share transactions that need to verify adherence to Rule 144.
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What are the instructions for submitting this form?
To submit this form, you may either email it to your attorney or broker-dealer or fax it to the designated number. Ensure that your representation letter is complete, and all required signatures are present. For physical submissions, mail the completed document to the address specified in your broker's correspondence.
What are the important dates for this form in 2024 and 2025?
Important dates may vary based on individual transactions, but keep an eye out for filing deadlines related to securities transactions in 2024 and 2025 as they can impact your eligibility and compliance.
What is the purpose of this form?
The purpose of the Non-Affiliate Shareholder's Representations Letter is to provide verification of a shareholder's eligibility to remove restrictive legends from their securities. This form ensures compliance with Rule 144, which regulates the resale of restricted securities and is essential for shareholders looking to sell their shares. By submitting this letter, shareholders assert that they have adhered to the necessary regulations and can proceed with sales without complications.
Tell me about this form and its components and fields line-by-line.
- 1. Shareholder's Name: Full name of the shareholder as it appears on the stock certificate.
- 2. Shareholder's Address: Current physical address of the shareholder.
- 3. Current Name of Issuer: The name of the company as it currently trades.
- 4. Former Name of Issuer: If applicable, the previous name under which the company traded.
- 5. Number of Shares Sold: Quantity of shares involved in the transaction.
What happens if I fail to submit this form?
Failing to submit this form may result in the inability to complete the sale of your restricted securities. Not providing the necessary representations could also lead to compliance issues with the SEC. It is crucial to ensure that all details are accurate to avoid potential legal consequences.
- Transaction Delays: Not submitting the form may delay the sale of your shares, impacting your investment strategy.
- Legal Compliance: Failure to provide accurate representations may lead to legal action or penalties from regulatory bodies.
- Market Risks: Holding onto restricted shares longer than necessary might expose you to market fluctuations.
How do I know when to use this form?
- 1. Selling Restricted Shares: Use the form when preparing to sell stocks that have restrictive legends.
- 2. Confirming Shareholder Status: To affirm your non-affiliate status to your broker or legal counsel.
- 3. Legal Compliance: Ensure you are meeting regulatory requirements when trading securities.
Frequently Asked Question
What is the purpose of this document?
This letter is used to request the removal of restrictive legends from securities. It helps affirm the eligibility of shareholders to sell their shares under Rule 144.
Who can fill out this form?
Any non-affiliate shareholder of a company who wishes to sell their restricted securities is eligible to fill out this form.
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Can multiple people edit the same PDF?
Currently, the PDF must be edited by one user at a time in the PrintFriendly editor.
How can I confirm my eligibility to sell shares?
Completing and signing this document affirms your eligibility and is an essential step in the process.
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