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November 2023 144 Market Report

Aggregate 144 Market Volume:

In November 2023, the total reported value of Form 144s surged 296% from October. This month-over-month rise in value was accompanied by an 192% increase in the number of shares registered for sale, and an 157% boost in number of filings. However, the value of Form 144s filed last month fell 35% when compared to November 2022. Despite this decline in total value, there was a 20% uptick in value sold under a plan. This increase in value pursuant to Rule 10b5-1 was accompanied by a 10% rise in planned filings. The increase in planned disclosures this November has resulted in the highest monthly value reported pursuant to Rule 10b5-1 thus far in 2023.

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Top 5 Brokers for November 2023

This November, Goldman Sachs advanced to the top for value brokered, due largely to brokering this month’s largest filing. JP Morgan remained in second place for total value brokered. Morgan Stanley slipped into third place, but took first for number of filings and number of shares brokered last month. Bank of America ranked fourth in both value brokered and number of shares, and UBS rounded out November's top 5 brokers in fifth place.

Top 144 Filings for November 2023

Filer Company Broker Value(M) Shares(M)
Walton Family Holdings Trust Walmart - [WMT] Goldman Sachs $2011.8 12.00
Walgreens Boots Alliance Holdings LLC Cencora - [COR] JP Morgan Chase $531.4 2.70
SVF Investments (UK) Ltd Coupang - [CPNG] Citigroup $483.3 30.00


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