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October 2023 144 Market Report

Aggregate 144 Market Volume:

In October 2023, the total reported value of Form 144s fell 56% from September. This month-over-month drop in value was accompanied by a 58% decrease in the number of shares registered for sale, and a 46% decrease in number of filings. Compared to October 2022, the value of Form 144s filed pursuant to Rule 10b5-1 last month fell 55%. This year-over-year decline was primarily driven by an 11% decrease in planned filings, and a 63% drop in shares reported under a plan. The decrease in planned disclosures this October has resulted in the lowest monthly value reported pursuant to Rule 10b5-1 thus far in 2023.

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Top 5 Brokers for October 2023

This October, Morgan Stanley again took the top ranking for value brokered, and also took first place for number of shares registered and number of forms filed. JP Morgan remained in second place for total value brokered, due in part to their role in brokering two of last month’s largest filings. Bank of America ranked third in both value brokered and number of filings. Fidelity secured fourth place in value brokered, with Goldman Sachs rounding out October's top 5 brokers in fifth place.

Top 144 Filings for October 2023

Filer Company Broker Value(M) Shares(M)
AGK Giving Trust CrowdStrike Holdings - [CRWD] JP Morgan Chase $334.8 2.00
His Majesty's Treasury NatWest Group plc - [NWG] Morgan Stanley $255.8 44.42
Marc R Benioff Rev Tr 12/3/04 Salesforce - [CRM] Bank of America $191.7 0.95*

*Pursuant to Rule 10b5-1

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