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July 2020 144 Market Report

Due to a continued disruption in the dissemination of Form 144 filings from the SEC, we will not be able to release the normal 144 Market Data Report this month. Form 144’s are normally received by the SEC on paper and disseminated via the Public Reference Room. Due to social distancing requirements, no filings have been released from the Public Reference Room since April 3. In April, the SEC started accepting Form 144 filings digitally via email, but the number of filings received and disseminated has been lower than in previous periods.

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As shown on the chart below, the volume of Form 144 filings in July has fallen by approximately 24% from the prior month, as compared to the historical average June-July decline of 34%. The number of disseminated filings last month was reduced by almost 29% compared to July 2019. Despite the lack of complete data, the graph below shows that beginning in May the total monthly value of 144 filings released by the SEC has begun to track more closely to what The Washington Service observed in the same period in 2019.

Given the absence of the majority of the expected filings, we did not have enough information about the market
to provide our normal assessment.

Top 144 Trades for May 2020 (Based on Partial Data):

Broker Company Insider Value ($M) Shares (M)
Goldman Sachs Alibaba Group [BABA] JSP Investment Ltd $1,535 6.4
Goldman Sachs Alibaba Group [BABA] JC Properties Ltd $377 1.8
Morgan Stanley CloudFlare [NET] Venrock Associates V LP $237 6.3


About the author


The Washington Service Research Team

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